Financial Planning Partner Assistant

Reference PE003795
Location Western Cape, George
Salary Interval Monthly
Package None-negotiable
Description Requirements:
  • 2-3 years in the financial services industry will be advantageous.
  • Relevant tertiary education or courses.
  • Financial Services Industry.
  • Understanding of FAIS and FICA legislation.
  • Computer skills: Microsoft Office (Excel, Word, Outlook essential); SharePoint.
  • Xplan experience.
Responsibilities, but not limited to:
Client Services  
  • Implementation of the client services experience, as defined by the Head of Operations. (Reference: Client Management Plan) 
  • Take full responsibility for the implementation of administrative processes and controls in the Financial Planning practice(s) (including all transactions, queries, reporting etc.). 
  • Liaison between Financial Planner Partner and product providers (PPs). 
  • Equipped to follow the formal complaint resolution process. 
  • Is the point of contact for clients, ensuring the efficient delivery of client requirements on behalf of the Financial Planning Partner(s). 
  • Adhere to the culture and principles of Treating Customer Fairly. 
Operations  
  • Collation of all clients related information (data discovery and fact find) and preparation of documentation for engagement between Financial Planning Partner and client. 
  • FICA and AML capture and checking on client onboard process. 
  • Checking of transition documentation to ensure completeness and accuracy in alignment to relevant client file checklist & lodgment rules. 
  • Administration relating to client transfer and new business transactions. 
  • Submission of intermediary appointment notes to relevant PPs. 
  • Monitoring the submission of intermediary appointment notes to ensure clients successfully transfer to the license group and that ongoing fees are received from the relevant PPs.
  • Capture and checking of new business documentation to ensure completeness and accuracy in alignment to the lodgment rules. 
  • Submission of new business application(s), together with supporting documentation to relevant PPs. 
  • Monitoring the underwriting and acceptance of new business transactions. 
  • Arranging medicals for clients where required and follow up on outstanding requirements to ensure new business transactions are confirmed by the relevant PPs timeously. 
  • Providing an ongoing service and maintenance support function to the Financial Planning Partner and his / her clients. 
  • Check Commission statements from CommPay and PPs.
  • Manage commission suspense accounts aligned to compliant new business lodgment. 
  • Escalate with PPs regarding commissions / fees due to the Financial Planning Partner. 
Operational support for Portfolio Managers and CRMs 
  • Assistants align with the PCS CRMs to ensure complete pre-population of PCS mandates and applications. 
  • All instructions to PM and CRMs initiated and maintained via Xplan tasks. 
IT & Systems 
  • Preparation of client portfolio’s using Astute and / or product provider information. Ensuring Xplan Policy Schedules are up to date and accurate.  
  • Data capture of client demographic data on client relationship management system Xplan. 
  • Client financial data capture (ASTUTE, PPs and manual). 
  • Data integration between xPlan and IWP for handover to BDM or Financial Planning Partner. 
  • Upload scanned copies of all documentation into xPlan (including relevant client file checklist(s)). 
  • Ensure proper record keeping in line with business rules and where relevant, legislation & safe storage into xPlan. 
  • Distribute communication(s) to clients as stipulated in the client management plan. (Auto communication registration and health keeping) 
  • Distribute communication(s) to clients as requested by the Financial Planning Partner via xPlan. 
  • Extensive use of Xplan notes and tasks to manage client records and organization of practice. 
  • Prepare for clients reviews as per client review template. 
  • Client review preparation by producing and checking the Client Consolidated Reports (CCR) from NAV. 
  • Maintain an accurate diary system. (Xplan & Outlook integration) 
  • Address all technology issues experienced by the Financial Planning Partner and facilitate the solution - liaison with the IT support desk etc. 
NAV & KPIs
  • Full awareness and understanding of information available on NAV to support the Financial Planning Partner(s). 
  • Track and monitor personal KPIs on NAV.  
  • Request assistance and guidance from POM where KPI scores reflect gaps. 
  • Liaise and orientate with the Financial Planning Partner on all data and practice attributes on NAV. 
Marketing Support  
  • Assist with the organization of client events in conjunction with the events coordinator i.e. booking venues, RSVP management, event management etc. 
  • Assisting Financial Planning Partners at client events. 
  • Function as a primary point of contact for clients thus strengthening client relationships. 
Office Management 
  • Support the general office management including reception, facilities, meeting room management, stationery, marketing material etc. 
  • Submit orders for stationery, business cards, marketing brochures, client folders etc. to the Head of Operations timeously to avoid running out of stock.
Please note that should you not receive a response within 2 weeks of applying, you may consider your application unsuccessful.

How to Apply

Submit CV
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