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Apollon Wealth Management, LLC · 11 hours ago

Client Service Associate

Chicago, IL

Full-time

Hybrid

Mid Level

3+ years exp

Apollon Wealth Management, LLC is seeking a dedicated and proactive Client Service Associate to join their Client Service Operations Department. The ideal candidate will play a vital role in ensuring exceptional client experiences by providing high-quality service and support in investment operations.

FinanceFinancial ServicesRetirementRisk Management

Responsibilities

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

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

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

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

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

Qualification

Financial services experienceBrokerage account servicingSalesforce proficiencyWindows suite proficiencyAdobe Acrobat proficiencyMulti-tasking skillsCommunication skillsProblem-solving skillsOrganizational skillsTeam collaboration