550 Silver Spur Road
Rolling Hills Estates,
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!
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
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
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 firstname.lastname@example.org . Please list your 'Name-Client Service Administrator' in the subject line of the email. Applications accepted through July 1, 2022.
At Arise Private Wealth we value your unique attributes and are dedicated to guiding you through your financial journey.
550 Silver Spur Road, Suite 350
Rolling Hills Estates, CA 90275
(310) 270-9033 DIRECT
(310) 272-5871 FAX
(800) 934-4903 TOLL FREE
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