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Assistant to Financial Advisor

Unique Personnel
Johannesburg Johannesburg Gauteng, South Africa
Closing date
May 8, 2024

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Job Role
Accounts Assistant
Contract Type
Full Time
Job Number


Job Type


Job Title

Assistant to Financial Advisor

Computer Skills

MS Office


Financial Services





Job Description

Capturing and taking minutes of meetings from Financial Advisors interaction with clients;
Capturing ,processing and following up on applications ( also checking that applications are completed correctly) , servicing and any other requirements;
Ensuring that compliance documentation and Financial Needs Analysis (FNA)accompany all new business and/or client servicing;
Checking that the Record of Advice (ROA) and FNA mirror one another and further that the Compliance is completed correctly;
Ensuring that all Compliance documentation is loaded on X-plan for the Internal Compliance Officer as well that all FNA's are attached to Xplan on a daily basis;
Keeping records and ensuring documentation is completed as required by the FAIS Act, FICA Act and relevant legislation;
Obtaining Client Authorities for preparing portfolio's via Astute, Fact Finding , checking them as well as uploading quotations prior to Financial Advisor/s meeting with the client;
Ensuring that ALL portfolio's are prepared one week prior to the Advisor/s meeting with the clients;
Checking the diaries and appointments for quality control prior to Advisor/s meeting with the client;
In house servicing - Upgrade's and downgrades
Ensuring that new business is processed timeously and that any outstanding quotations are followed up on - Pipe and new business must be followed up daily;
Dealing with queries, difficult clients and complex queries that may be received by the Advisor/s and the Financial Planning Practice;
Interact with Clients Diligently and Fairly;
Striving to assist your broker/s in achieving and exceeding sales targets;
Contacting clients for beneficiary changes / Wills /arrear premiums /replacements /broker changes/ lapses / cancellations and ensuring that we try to save this business;
Liaise with broker consultants and Insurance Companies; Sending out communication and liaising with clients to keep them updated;
Following up on leads and campaigns;
Check the database for possible new business and ensure that details on system are up to date and correct;
Contacting clients for counter-offer letters and declines;
General administration and In- House servicing/new business; and Must attend all training sessions and further the employee is required to complete and pass the FICA assessment.
Assisting clients in going from blue to gold on Vitality.
Checking all user groups are linked Directors, Shareholders, Trusts, Trustees, Employer/Employees etc
Changes to Buy & Sells & ensuring they are updated annually

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Inherent Requirements

Industry experience
Experience as an Assistant to Financial Advisor

What Qualification

Minimum Qualification




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