Regional Sales Associate - Internal Sales (AS)

1483 Guggenheim Funds Distributors, LLC; New York (NY); On-site; USD 80,000 - 120,000; Full time

Benefits offered by this job

401k with matching contribution

Healthcare and wellbeing programs

Paid leave

Learning and development opportunities

Family and caregiving support

Employee assistance program

Job summary

Guggenheim Investments in New York (or Stamford) seeks a Regional Sales Associate to drive growth by engaging financial advisors, analyzing portfolios, and presenting investment strategies.

You will collaborate with external wholesalers, manage territory plans, and maintain CRM data while staying compliant with FINRA licensing standards.

Qualifications

• College degree
• Strong analytical and problem-solving abilities
• Excellent oral, written and interpersonal communications skills
• Familiar with investment concepts and strategies
• US work authorization without visa sponsorship

Responsibilities

• Initiate sales calls to identify new opportunities and provide financial intermediaries with sales ideas and data
• Respond to inquiries from financial intermediaries in a timely and accurate manner
• Partner with external wholesalers to execute territory plans and achieve sales goals
• Follow up on appointments, conference leads, and referrals for qualified representatives
• Maintain activity and profile data in the CRM
• Assist intermediaries in analyzing client portfolios to recommend investment strategies

Skills

Sales

Relationship management

Financial services knowledge

Communication skills

Education

Bachelor's degree

MBA/ CFA preferred

Tools

CRM

Job description

Position Summary

Guggenheim Investments is seeking an exceptional Regional Sales Associate to join its team. Reporting to the Divisional Desk Manager, this person will join a high functioning team responsible for increasing assets under management and driving growth for Guggenheim. In addition to sales skills, the ideal candidate will demonstrate the ability to develop strong relationships with financial advisors (FA), analytical and portfolio management members for FA teams. The position is located in our New York or Stamford Office.

Responsibilities Key Responsibilities

• Initiate sales calls to identify new sales opportunities; provide financial intermediaries with sales ideas; product information, performance data
• Respond to incoming calls/questions/requests from financial intermediaries in a timely and accurate manner
• Partner with external wholesalers to provide scheduling and sales support; execute on territory plan to ensure achievement of assigned sales goal
• Follow-up on external wholesaler appointments, conference leads and referrals of qualified representatives
• Maintain activity and profile data in the CRM
• Assist financial intermediary in analyzing client portfolios to help recommend appropriate investment strategies, including running product hypotheticals and performance comparisons
• Keep current and adhere to compliance and regulatory policies specific to licensing requirements, continuing education and firm-mandated training (license requirements FINRA 7, 63)
• Responsible for keeping current on company’s products, initiatives and marketing campaigns

Basic Qualifications

• College degree
• Enhanced problem-solving abilities, analytical abilities, and familiarity with investment strategies and concepts
• Excellent oral, written and interpersonal communications skills
• Informed and conversant across a broad range of topics
• Energetic, self-motivated, positive attitude, goal-oriented

Preferred Qualifications

• Bachelor’s Degree (preferably in Finance or Business)
• MBA, CIMA, CPWM, CAIA or CFA preferred
• Minimum 2 years of experience within a financial brokerage or investment management environment in a sales capacity
• Current FINRA Registrations (Series 7, 63, 65, and/or 66)

We are not seeking agency assistance with this role.

We are unable to consider candidates who require current or future visa sponsorship for employment in the United States.

Candidates must be authorized to work in the US without current or future visa sponsorship or transfer.

Benefits

• 401k with matching contribution
• Healthcare and wellbeing programs
• Paid leave
• Learning and development opportunities
• Family and caregiving support
• Employee assistance program

We focus relentlessly on delivering results through innovative solutions. We relish opportunities to solve complex problems through exhaustive approaches. As we conduct our business every day, every member of Guggenheim is expected to uphold our uncompromising standards for integrity and excellence and to be personally accountable for their actions and business results. Our principles entail engaging highly talented people, challenging them to think creatively, and encouraging them to achieve extraordinarily high standards in their fields of expertise. To succeed at Guggenheim, candidates should be a strong fit with our business principles, culture, and value system. We encourage you to review Our Firm page to learn more about how we seek to create value through our diversified businesses.

We offer compelling opportunities for self-starters who take great pride in the quality of their work and seek to exceed expectations. We are looking for people who take ownership, adhere to the highest standards, and think creatively to realize opportunities.

Guggenheim is an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Learn more at GuggenheimInvestments.com, and follow us on LinkedIn.