Client Service Associate

Apollon Wealth Management, LLC; Mount Pleasant (SC); Hybrid; USD 65,000 - 90,000; Full time

Job summary

Apollon Wealth Management, LLC is seeking a proactive Client Service Associate to support the Client Service Operations Department. The role focuses on high-quality client experience, back-office investment operations, and efficient onboarding and servicing of accounts.

You will work in a hybrid environment with custodians like Fidelity, Pershing, Schwab, and Raymond James, coordinating across teams to resolve issues and ensure compliance.

Qualifications

• 3+ years in financial services or wealth management preferred.
• Strong communication and client service orientation.
• Familiar with custodial platforms and account openings.

Responsibilities

• Provide back-office investment operations support to advisors and clients via Salesforce and custodial execution.
• Assist onboarding of accounts during transitions for a smooth, timely process.
• Document, track, and complete tasks with accuracy and attention to detail.
• Ensure activities comply with regulatory standards and firm policies.
• Coordinate with custodians and internal teams for seamless processing.

Skills

Client service

Communication

Team player

Regulatory compliance

Account openings

Money movements

ACATs knowledge

Attention to detail

Multitasking

Education

College degree

Tools

Salesforce

Windows

Adobe Acrobat

Job description

Client Service Associate
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.

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