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Financial Planning Partner Assistant

Pietermaritzburg Pietermaritzburg Msunduzi, South Africa
Closing date
Jun 1, 2024

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Job Role
Financial Planning & Analysis
Contract Type
Full Time
Reference: PE002389-RW-1Our client in the Financial Services industry is currently looking to employ Financial Planning Partner Assistant based in KZN (Gillitts).A wonderful career opportunity awaits you.

2-3 years in the financial services industry required.
Relevant tertiary education or courses.
Financial Services Industry.
Understanding of FAIS and FICA legislation.
Computer skills: Microsoft Office (Excel, Word, Outlook essential); SharePoint.
Experience with XPlan.
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.
Problem solving ability to apply creative skills in evaluating problems and identifying best solutions while being flexible to accommodate the changing needs of the clients.
Teamwork: be a reliable and productive member of the team.
Professional presence: as a representative of the organization, a professional image and professional conduct are always expected and required.
Time management: ability to manage time and tasks to ensure deadlines are met.
Assertiveness, proactive and resourceful.
Resilient under pressure.
Ability to multi-task
Maintain absolute confidentiality.

Responsibilities and expectations 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.


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 (internal commission module linked to CRM) 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 (company's internal CRM) tasks.

IT and Systems

Preparation of client portfolio's using Astute and / or product provider information. Ensuring XPlanPolicy 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 Integrated Wealth Planning 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 (the company's proprietary software that manages all aspects of the Partner's practice).
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 should you not receive a response within two weeks of applying you may assume that your application was unsuccessful.

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