| Description |
Requirements:
- 2–3 years’ experience in the financial services industry advantageous.
- Relevant tertiary qualification or financial services related courses advantageous.
- Financial services industry knowledge.
- Understanding of FAIS and FICA legislation.
- Computer skills: Microsoft Office (Excel, Word, Outlook essential); SharePoint as well as AI tools and social media.
- Xplan experience.
- Good verbal and written communications skills.
- High energy individual who is customer centric and relationship orientated.
- Methodical, accurate and have meticulous attention to detail.
- Initiative-taking work ethic.
- Organizational skills, ability to prioritize, plan and manage projects.
- Ability to collaborate with others.
- Critical thinking: ability to strategize, research and interpret.
- Assertiveness, proactive and resourceful.
Responsibilities, but not limited to:
Client Services
- Implementation of the client services experience, as defined by the Head of Operations.
- 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 and 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 and 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 and 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 and Outlook integration)
- Address all technology issues experienced by the Financial Planning Partner and facilitate the solution - liaison with the IT support desk etc.
NAV and 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 Partnership Operations Manager 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.
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