Teams at Guggenheim Investments

Supports internal sales growth by initiating calls, sharing investment product information, responding to financial intermediaries, supporting external wholesalers, maintaining CRM data, analyzing portfolios, and helping achieve territory sales goals while following FINRA licensing and compliance requirements.

Supports the development, governance, issuance, and maintenance of firm policies, procedures, controls, process documentation, and related materials. Collaborates with stakeholders across investment management, operations, compliance, legal, risk, and other functions. Maintains documentation repositories, tracks projects and deliverables, prepares governance materials, supports Internal Audit remediation, and identifies process efficiencies while ensuring accuracy and regulatory alignment.

The Vice President will develop, govern, and enhance firm-wide policies, procedures, process documentation, and controls. Responsibilities include managing documentation lifecycles, coordinating stakeholder approvals, maintaining repositories, supporting governance initiatives, preparing senior management materials, and monitoring internal audit findings and remediation plans. The role requires strong writing, analytical, project management, stakeholder collaboration, and financial services experience.