Maria Rosen

Maria Rosen has been with Guggenheim Partners for over a decade. Ms. Rosen currently leads GI Private Funds Compliance and provides regulatory advice to the business including with respect to marketing in the United States and abroad, onboarding and various client service issues. She assists in regulatory examinations and advises on ESG-related issues and regulatory rule proposals. From August 2021 to March 2023, she served as GS Gamma Advisors, LLC’s Chief Compliance Officer and Guggenheim Investments’ Director of Compliance Policies and Trainings. Prior to this role, since 2013, Ms. Rosen was Senior Regulatory Counsel to Guggenheim’s Central Compliance group, working directly under Guggenheim’s Global Head of Compliance. While in Central Compliance, Ms. Rosen oversaw the management and operation of firm-wide employee activities for more than 2,000 employees. She also managed the vetting of political activities and advised on questions pertaining to filings with the SEC, FINRA and the NFA. Ms. Rosen has over 20 years of experience, including with a large law firm, one of the world’s oldest and largest hedge funds and a multinational banking and financial services corporation. Ms. Rosen has a B.A. from Hamilton College and holds a JD from Brooklyn Law School.