Client Service Associate

4 days ago

Mount Pleasant, United States Apollon Wealth Management Full time

Client Service Associate Reports to: SVP of Custodial Operations Status : Exempt We are seeking a dedicated and proactive Client Service Associate to join our Client Service Operations Department and our esteemed wealth management team. The ideal candidate will play a vital role in ensuring exceptional client experiences by providing high-quality service and support.  Duties: Core Operational Support Provide back-office investment operations support to advisors and clients through Salesforce tasking and custodian execution, including: New account openings Money movement requests Account transfers (ACATs and non-ACATs) Address changes and account updates Client distributions and RMDs Contributions and deposits General account service requests Assist in the onboarding of accounts as part of advisor and client Transitions to ensure a smooth, accurate, and timely onboarding experience. Document, track, and complete all assigned tasks with accuracy and attention to detail.Ensure all activities adhere to regulatory and firm compliance standards.Custodian & Internal Coordination Work closely with custodial partners such as Fidelity, Pershing, Schwab, and Raymond James.Coordinate with internal teams to ensure timely and seamless processing across departments.Research and resolve account-related issues by collaborating with custodians, carriers, and internal stakeholders.Brokerage & Direct-Held Support Deliver comprehensive servicing for complex advisory and brokerage (commission-based) relationships.Support the administration and ongoing maintenance of brokerage accounts, ensuring compliance with FINRA and custodian regulations.Assist advisors with brokerage-specific forms, disclosures, and documentation, ensuring accuracy and timely submission.Maintain strong knowledge of direct-held business, including carrier requirements, processes, and documentation.Complex Case Management & Escalations Apply critical thinking and problem-solving skills to resolve complex client inquiries and service issues. Manage client and custodian escalations, providing timely and satisfactory resolutions that enhance the client experience.Oversee complex account openings, ensuring full compliance with regulatory requirements and firm policies.Process Improvement & Documentation Help document, update, and maintain departmental processes and procedures.Identify opportunities to improve efficiency and streamline workflows.Demonstrate advanced proficiency in brokerage and investment operations to support ongoing refinement of best practices.Minimum Education: College degree Skills and Experience: 3+ years recent financial services industry experience required Self-starter and motivated to learn Familiar and competent in the Windows suite of programs, along with Adobe Acrobat Embraces working on a team Strong communication with clients both verbally and written Familiarity with Salesforce preferred Experience servicing and opening accounts on a custodial platform required Industry licensing (not required) Skilled in multi-tasking, follow-up, and managing priorities effectively Strong analytical, problem solving, and organizational skills   Powered by JazzHR

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