Wealth Management Assistant

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.
• Excellent written and verbal communication.
• 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