Guggenheim

Late-growth, mature-stage global investor

Regional Sales Associate - Internal Sales, Asset Management

Account ExecutiveConfirmed live in the last 24 hours

Full-timeNo salary listed

About the Job

Requirements

A college degree is required.
Enhanced problem-solving and analytical abilities, and familiarity with investment strategies and concepts are required.
Strong oral, written, and interpersonal communication skills are required.
Candidates must be informed and conversant across a broad range of topics.
Candidates must be energetic, self-motivated, positive, and goal-oriented.
At least 2 years of sales experience in a financial brokerage or investment management environment is preferred.
Current FINRA registrations (Series 7, 63, 65, and/or 66) are preferred.
Candidates must be authorized to work in the United States without current or future visa sponsorship or transfer.

Responsibilities

Initiate sales calls to identify new opportunities and provide financial intermediaries with sales ideas, product information, and performance data.
Respond to financial intermediaries’ incoming calls, questions, and requests in a timely and accurate manner.
Partner with external wholesalers to provide scheduling and sales support, and execute the territory plan to achieve assigned sales goals.
Follow up on external wholesaler appointments, conference leads, and referrals of qualified representatives.
Maintain activity and profile data in the customer relationship management system.
Assist financial intermediaries in analyzing client portfolios and recommending appropriate investment strategies, including running product hypotheticals and performance comparisons.
Keep current with and adhere to compliance and regulatory policies related to licensing requirements, continuing education, and firm-mandated training.
Keep current on company products, initiatives, and marketing campaigns.

Desired Qualifications

A bachelor's degree, preferably in Finance or Business, is preferred.
An MBA, CIMA, CPWM, CAIA, or CFA is preferred.

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

Qualifications

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.

The benefits offered for this position:

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

About the Company

Guggenheim

Late-growth, mature-stage global investor

Guggenheim provides growth capital by investing $5–$10 million in late-stage companies with 1,001–5,000 employees. It targets internationally active firms across markets including the UAE, India, Hong Kong, the UK, and major U.S. and European cities, delivering a single mid-to-large investment per deal to support expansion, with possible follow-on support. The firm focuses on a narrow band of growth-stage companies, rather than startups or very large enterprises, to balance risk and growth potential. Its goal is to help growing companies scale operations and market presence while aiming for attractive returns for its investors.

Company size: 1,001-5,000
Company stage: Not listed
Total funding: $1.8B
Headquarters: Chicago, IL
Founded: 1999

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