Guggenheim Services, LLC

External Sales, Mutual Fund Broker Dealer Channel (Southern California)

Job Locations US-IL-Chicago
Posted Date 8 months ago(4/12/2023 12:50 PM)
Job Category
Position Type

Position Summary

Guggenheim is seeking an established and successful external sales professional with strong relationships in the wire house and regional channels. The External Wholesaler (Regional Vice President) will support and grow Guggenheim’s mutual fund business to financial intermediaries. The RVP will perform as part of a sales team, which includes an internal wholesaling partner and will be responsible for the development and day-to-day management of geographic territories within Southern California. Reporting to the Divisional Manager, the individual will work remotely within their territory.

Essential Job Functions

  • Generate sales of Guggenheim Investments mutual funds within the territory
  • Support brand and image of the firm and its products
  • Own sales performance and goals for territory
  • Solidify relationships, generate new business with our clients, create prospecting pipeline, and manage sales efforts within the defined geographic territory
  • Work closely with Sales Manager to create and implement a sales strategy
  • Develop and execute on territory business plan including segmentation, time management, counterpart collaboration, territory management, etc.
  • Manage administrative responsibilities according to company policies including travel and expenses, CRM updates, calendar and schedules, conference call participation, email retention, continuing education, and other requirements

Preferred Qualifications

  • Excellent oral, written, and interpersonal communications skills
  • Informed and conversant across a broad range of topics
  • Energetic, self-motivated, positive attitude, goal-oriented
  • Strong work ethic, and leadership skills
  • High degree of integrity
  • Ability and willingness to prepare relentlessly and execute passionately
  • Strong relationship building skills—client focused
  • Technical/Computer skills should include experience with Microsoft Word, Power Point and Excel

Basic Qualifications

  • Bachelor’s Degree (preferably in Finance or Business)
  • Current FINRA Registrations (Series 7, 63, 65, and/or 66)
  • Must reside in corresponding geographic territory

Salary Details

Annual base salary $75,000


The amount listed reflects base salary only, and the total compensation package may include other components such as incentive compensation.

About Us

Guggenheim Partners is a diversified financial services firm that delivers value to its clients through two primary businesses: Guggenheim Investments, a premier global asset manager and investment advisor, and Guggenheim Securities, a leading investment banking and capital markets business. Guggenheim’s professionals are based in offices around the world, and our commitment is to deliver long-term results with excellence and integrity while advancing the strategic interests of our clients.

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, and follow us on LinkedIn and Twitter @GuggenheimPtnrs.


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