Wealth Management Assistant

AppleOne Employment Services; Fresno (CA); On-site; USD 42,000 - 65,000; Full time

Job summary

AppleOne Employment Services in Fresno, CA seeks a Wealth Management Assistant to provide administrative and operational support to financial advisors by managing client accounts, coordinating meetings, and handling investment paperwork.

The role emphasizes superior client service, accuracy, and regulatory compliance, with responsibilities spanning onboarding, documentation, reporting, and collaboration with custodians and the wealth management team.

Qualifications

• Associate's or Bachelor's degree in Business, Finance, Accounting, or a related field preferred.
• 2+ years of administrative experience, preferably in wealth management or financial services.
• Experience with CRM systems and Microsoft Office Suite (Word, Excel, Outlook, PowerPoint).
• Familiarity with financial planning software and portfolio management platforms is preferred.
• Knowledge of investment products, retirement accounts, and financial terminology is a plus.
• Experience with account opening, transfers, and investment paperwork preferred.
• Outstanding customer service and relationship-building skills.
• Strong organizational and time management abilities.
• High level of accuracy and attention to detail.
• Ability to prioritize multiple tasks in a fast-paced environment.
• Professional demeanor and discretion when handling confidential information.
• Strong problem-solving and critical thinking skills.
• Ability to work independently and collaboratively within a team.
• Proficiency with Microsoft Office Suite and CRM software.

Responsibilities

• Provide exceptional customer service to clients by responding to inquiries via phone, email, and in person.
• Schedule and coordinate client meetings, annual reviews, and follow-up appointments.
• Prepare meeting materials, investment reports, financial planning documents, and presentation packets.
• Open new client accounts and process account maintenance requests, including transfers, beneficiary updates, and distributions.
• Assist with account onboarding and ensure all required documentation is complete and compliant.
• Process investment paperwork accurately and in accordance with firm and regulatory guidelines.
• Coordinate with custodians, broker-dealers, and financial institutions to resolve account issues.
• Track outstanding client requests and ensure timely follow-up.
• Assist with preparing client correspondence and financial reports.
• Support advisors with marketing initiatives, client events, seminars, and educational workshops.
• Maintain confidentiality of sensitive financial and personal client information.
• Ensure compliance with FINRA, SEC, firm policies, and regulatory requirements.
• Perform general administrative duties including filing, document management, scanning, and office organization.

Skills

Administrative experience

Customer service

CRM experience

Time management

Attention to detail

Education

Associate's or Bachelor's degree in Business, Finance, Accounting, or related field

Tools

CRM software

Microsoft Office Suite

Financial planning software

Job description

Appleone is currently recruting to fill a positon for a Wealth Management Assistant. This position provides administrative and operational support to financial advisors by managing client accounts, coordinating meetings, preparing documentation, processing investment-related paperwork, and delivering outstanding client service. This position serves as a key point of contact for clients and helps ensure the efficient day-to-day operation of the wealth management practice.

Essential Duties and Responsibilities

• Provide exceptional customer service to clients by responding to inquiries via phone, email, and in person.
• Schedule and coordinate client meetings, annual reviews, and follow-up appointments.
• Prepare meeting materials, investment reports, financial planning documents, and presentation packets.
• Open new client accounts and process account maintenance requests, including transfers, beneficiary updates, and distributions.
• Assist with account onboarding and ensure all required documentation is complete and compliant.
• Process investment paperwork accurately and in accordance with firm and regulatory guidelines.
• Coordinate with custodians, broker-dealers, and financial institutions to resolve account issues.
• Track outstanding client requests and ensure timely follow-up.
• Assist with preparing client correspondence and financial reports.
• Support advisors with marketing initiatives, client events, seminars, and educational workshops.
• Maintain confidentiality of sensitive financial and personal client information.
• Ensure compliance with FINRA, SEC, firm policies, and regulatory requirements.
• Perform general administrative duties including filing, document management, scanning, and office organization.

Qualifications

• Associate's or Bachelor's degree in Business, Finance, Accounting, or a related field preferred.
• 2+ years of administrative experience, preferably in wealth management, banking, financial services, or investment advisory.
• Experience working with CRM systems and Microsoft Office Suite (Word, Excel, Outlook, PowerPoint).
• Familiarity with financial planning software and portfolio management platforms is preferred.
• Knowledge of investment products, retirement accounts, and financial terminology is a plus.
• Experience with account opening, transfers, and investment paperwork preferred.
• Outstanding customer service and relationship-building skills.
• Strong organizational and time management abilities.
• High level of accuracy and attention to detail.
• Ability to prioritize multiple tasks in a fast-paced environment.
• Professional demeanor and discretion when handling confidential information.
• Strong problem-solving and critical thinking skills.
• Ability to work independently and collaboratively within a team.
• Proficiency with Microsoft Office Suite and CRM software.

Preferred Qualifications

• Experience supporting a Financial Advisor or Wealth Management team.
• Knowledge of investment operations and financial planning processes.
• Looking to have one of the 5 series licenses