Join Our Team

JOIN OUR TEAM

 At Arise Private Wealth we value your unique attributes and are dedicated to guiding you through your financial journey.  Arise means empowering our clients to live their best life. To not just be happy, but fulfilled. To arise is a daily commitment to get up, focus on your long-term vision and consistently choose to rise above any circumstance that comes your way while having the support of your financial advisors.  

We are looking for a passionate and dedicated Client Service Administrator to join our team!   

Purpose

The Client Service Administrator (CSA) and Office Manager is an integral part of the first-class client experience we provide our clients and in keeping our office running smoothly. The CSA is responsible for the day-to-day management of the office and the coordination and overall management of client account documentation and maintenance. The position collaborates with the advisor team to prepare client reports and maintains contact with clients to provide or obtain updated information. The CSA schedules client meetings with preferred staff and troubleshoots problems while maintaining a positive and client-centric approach.

Client Service Administrator Essential Functions:  60%

  • Provide first line of client contact and serve as a liaison between advisors and clients

  • Assist clients with inquiries/requests or re-direct, as appropriate

  • Prepare brokerage account paperwork for opening new accounts and/or annuities, terminated accounts and/or account transfers:

    • Assemble materials for participant enrollment and education

    • Facilitate completion of all client applications and transfer documents

    • Conduct client paperwork signing meetings with clients

  • Oversee the asset transfer process: establish rapport with custodial contacts to ensure timely and accurate completion of requests

  • Establish, service, monitor, and maintain client investment accounts

  • Handle client-initiated changes and transactions:

    • Review, update, and maintain beneficiary forms

    • Receive and process on-demand distributions from accounts

    • Electronic Funds Transfer (EFT) establishment or termination

    • Adding check writing ability to accounts

    • Journaling of assets between accounts

    • Address and other demographic information changes

    • Gifting of assets to donor advised fund, charities, or other broker/dealers

  • Enter/file trades, as needed; ensure information is uploaded in accordance with cutoff times

  • Order and prepare pickups for check or paperwork submission

  • Process incoming checks and screen incoming account paperwork for accuracy

  • Coordinate investment policy statements

  • Maintain client database for monitoring deposit, transfer, and new accounts

  • Enter notes in CRM database daily, based on advisor-client interactions. Input advisor, and appropriate non-advisor, dictation. Work to ensure data integrity in all databases

  • Coordinate with custodians to resolve outstanding service issues including undeliverable mail, mismatched Social Security numbers, missing paperwork, insufficient account authorizations, and misrouted issuer communications

  • Utilize all available resources to determine the most efficient and accurate methods to accomplish client service requests

  • Assemble materials for client review meetings

  • Prepare and proof-read reports; check documentation and electronic data for errors

  • Initiate client correspondence

  • Assemble and package materials for client mailings

  • Keep track of office supply levels and reorder as necessary.

  • Maintain relationships with vendors and troubleshoot any service issues.

  • Maintain client welcome screen and office overall presence.

  • Greet clients and provide refreshments as requested.


Support Advisor Essential Functions:  40%

  • Assist in the gathering and organizing of client data necessary to develop a financial plan: client financial statements, tax returns, estate planning documents

  • Review client data and files for completeness

  • Utilize various financial analysis programs to produce requested results sought by the financial planner and/or advisor. Perform review of output for completeness and accuracy

  • Assist with investment and trading issues (such as basis, transfers, cash flows, etc.), as needed

  • Conduct special and routine investment/portfolio or planning research projects, as requested by advisors and technical specialists

  • Provide support to advisors on research for tasks, clients, and other areas as required

  • Research and calculate client cost basis

  • Coordinate quarterly investment management performance reports including reconciling the report and checking to be sure all securities are priced

  • Provide management with updates and reports, as needed, on the status of client investment activities

  • Attend client meetings, as needed, in a technical, supporting and learning role

  • Provide client relationship assistance

  • Enter notes in CRM database, based on client interaction

  • Work to ensure data integrity in all databases

  • Compose and generate correspondence and client documents, including spreadsheets and reports


Knowledge, Skills, Education and Experience:

  • Proficiency in Word, Excel, PowerPoint, Outlook, CRM software

  • Working knowledge of a variety of investment tools

  • Excellent verbal and written communication skills

  • Ability to work independently and establish priorities

  • Ability to remain positive, motivated, and focused during dynamic and demanding busy periods

  • Desire to be supportive and helpful to the team

  • Fast learner and good note taker

  • Ability to handle multiple requests simultaneously and respond quickly

  • Highly organized, with absolute attention to detail

  • Excellent problem solving abilities

  • Excellent research abilities

  • Excellent follow-through and communication to team members regarding status of open items

  • Ability to recommend procedures and reporting to improve the effectiveness of the team

  • Client-first attitude

  • Team player, collaborative, able to work with and through others

  • Ability to project a professional image of her/him self and the firm to clients by the way in which he/she conducts himself and the quality of the work produced

  • High School Diploma required. Associate’s Degree or Bachelor’s Degree desired in business administration or related field

  • Minimum of 3-5 years proven success in an administrative support function in an investment environment

  • Hold Series 7 license, or able to obtain Series 7 license within 6 months of hire

 

 Working Conditions:

  • Must be able to commute to our office in Rolling Hills Estates, CA at least 4 days/week.


How to Apply
Please send a cover letter and resume to readyto@arisepw.com . Please list your 'Name-Client Service Administrator' in the subject line of the email. Applications accepted through July 1, 2022.