Client Service Associate

Location

South Carolina

Posted

14 days ago

Salary

0

Seniority

Senior

Job Description

Client Service Associate

Apollon Wealth Management

Title: Client Service Associate Location: Mt. Pleasant, SC Job Description: Reports to:SVP of Custodial Operations Status: Exempt Hybrid 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 stakeolders. 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

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