Managing Director/External Wholesaler – West Coast

Posted 09/20/2023 By Jennifer Keane

Fantastic opportunity to work for a growing Investment Manager-

Managing Director/External Wholesaler – West Coast focusing on corporate Retirement Plans

About the job- remote role

Job Summary:

Under general direction with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience, to create new and manage existing relationships with regional wire houses, financial advisors/brokers and agents to generate required production/sales revenue from financial products throughout a given territory. Leads projects, programs or processes with significant business impact involving cross-functional teams. Develops tactical plans and completes complex assignments with substantial latitude for unreviewed actions or decisions. Provides comprehensive solutions to complex problems or needs. End results are evaluated for achieving goals and objectives. Extensive contact with external clients is required to sell financial products and generate revenue for the company.

Fantastic compensation package

Essential Duties and Responsibilities:

  • Responsible for building and maintaining relationships with financial advisors to generate assets within a specific territory- looking for someone with experience and contacts on the WEST COAST- Arizona, New Mexico, Washington, CA. etc.
  • Assists with educating financial advisors on the benefits of offered products and services for their clients through individual or group meetings presentations, including branch visits, seminars and conferences/trade shows.
  • Assists with developing and implementing wholesaling business plans for the territory to deliver sales goals.
  • Presents sales activities at weekly wholesaling meetings.
  • Maintains wholesaling activity logs and or databases to create and maintain broker profile levels and data on current and proposed sales activity.
  • Works closely with assigned internal wholesaler to deliver sales goals by identifying and fostering leads generated from referrals, ad campaigns and territory canvassing.
  • Manages expense account within allotted budget.
  • Performs other duties and responsibilities as assigned.


Knowledge, Skills, and Abilities:

  • Fundamental concepts, principles and practices of the securities industry and asset management products.
  • Broker/dealer operations.

Skill in:

  • Identifying the needs of customers through effective questioning and listening techniques.
  • Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.
  • Preparing and delivering clear, convincing and professional sales presentations to small and large audiences.
  • Problem solving sufficient to effectively analyze, research and resolve inquiries and issues in a timely manner.
  • Analyzing business processes and identifying process improvement opportunities.
  • Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, and spreadsheets.

Ability to:

  • Represent the company in a highly professional manner.
  • Organize, prioritize, and manage tasks and projects to complete work efficiently.
  • Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives and convince others to accept ideas or goals.
  • Develop and maintain effective working relationships with team members, internal partners, and external parties.
  • Assimilate and prioritize strategies into operational guidelines.
  • Work independently as well as collaboratively within a team environment.
  • Establish clear directions and priorities.

Educational/Previous Experience Requirements:

  • Minimum 5 years of Defined Contribution Investment sales experience and contacts
  • Extensive knowledge of financial marketplace, investment products and analysis
  • Demonstrated knowledge of the institutional sales process and requirements
  • Ability to travel 50-75% of time
  • Demonstrate proven sales results from prior efforts
  • Bachelor’s Degree (B.A.) in Finance or related field and a minimum 8 years of experience in the financial services industry.


  • 7+63
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