Assistant Planner (Investments)

Morton Moore Financial Services; Gauteng; On-site; ZAR 406,000 - 487,000; Full time

Benefits offered by this job

Salary: R40 000 per month

Job summary

Morton Moore Financial Services in Bedfordview seeks an Assistant Planner to support Financial Advisors and Paraplanners within a busy wealth management environment. The role combines advice documentation support, post-advice servicing and compliance oversight to ensure accurate, timely, and regulatory-compliant delivery of advice packs.

The successful candidate will handle ROA/FNA preparation, client documentation, and ongoing servicing while ensuring quality and accuracy across platforms and

Qualifications

• Matric with NQF Level 5 in Wealth Management.
• FAIS-recognised qualification and RE5, or working towards one.
• Postgraduate Diploma in Financial Planning or CFP progress is advantageous.

Responsibilities

• Prepare ROA and FNA in line with FAIS requirements.
• Draft client-specific advice documents for investments, retirement, and risk planning.
• Ensure documentation aligns with risk profiles and product suitability.
• Conduct product and platform research across LISPs and investment products.
• Process and validate client instructions and submit to platforms/insurers.
• Maintain accurate client files with auditable trails and support audits.
• Coordinate with advisors and paraplanners to implement advice.

Skills

Attention to detail

Numerical accuracy

Client-focused communication

CRM proficiency

Office suite (Excel)

Education

NQF 5 Wealth Management

Postgraduate Diploma in Financial Planning (advantage)

FAIS qualification or RE5 (or pursuing)

Tools

Investment platforms

LISP platforms

Job description

Overview Our client, an established financial advisory practice in Bedfordview, Johannesburg, is seeking an Assistant Planner to support Financial Advisors and Paraplanners within a busy wealth management environment. This multi-skilled role combines advice documentation support, post-advice client servicing and compliance oversight, ensuring that every instruction and advice pack is delivered accurately, timeously and within regulatory requirements. The successful candidate will act as a key operational link between clients, product providers, investment platforms and internal teams.

Key Responsibilities

• Prepare Records of Advice (ROA) and Financial Needs Analyses (FNA) in line with FAIS requirements, as instructed by the advisors.
• Assist in drafting client-specific advice documentation covering investments, retirement planning, risk planning and related considerations, translating advisor recommendations into clear, client-friendly documents.
• Ensure advice documentation aligns with client risk profiles, goals, investment mandates and product suitability requirements.
• Conduct product and platform research across LISPs, collective investment schemes, retirement products and risk products to support advice preparation.
• Analyse client financial data including assets, liabilities, cash flow and retirement projections, and flag gaps or risks to advisors.
• Act as a primary contact point for post-advice servicing queries such as contribution changes, withdrawals, switches, beneficiary updates, banking detail changes, statements and tax certificates.
• Receive, validate and process client instructions, preparing and submitting documentation to investment platforms, LISPs, insurers and administrators.
• Track submitted instructions and proactively follow up to completion, resolving delays, allocation discrepancies and administrative errors with third parties.
• Support client onboarding and ongoing maintenance of records in line with POPIA and FAIS requirements.
• Conduct pre-submission and quality checks to confirm that FICA documentation is complete and valid, risk profiles and mandates are in place and disclosures are correctly included.
• Maintain accurate, auditable client files with clear audit trails of instructions and correspondence, and support internal and external compliance audits.
• Escalate compliance risks, suitability concerns, complaints or irregularities through the correct internal channels, and adhere to internal workflows, approval matrices and segregation of duties.
• Stay up to date with platform processes, product rules, cut-off times, minimums and fund availability.
• Update CRM and tracking tools to reflect accurate case and instruction status, and ensure advisor audit scorecards are maintained at 100 percent per cycle.
• Coordinate with advisors, paraplanners, new business and operations teams to ensure seamless advice implementation and servicing.

Requirements

• Matric (Grade 12), with a minimum NQF Level 5 in Wealth Management.
• A relevant tertiary or financial services qualification is advantageous, with Financial Planning, Finance, Investments or Economics preferred.
• Two to five years' experience in a financial advisory, investment administration, paraplanning support, new business processing or client servicing role.
• A FAIS-recognised qualification and RE5, or actively working towards one, is required.
• Solid understanding of South African investment, retirement and risk products, investment platforms and LISPs, and advice and servicing processes.
• Working knowledge of FAIS, FICA, POPIA, Treating Customers Fairly principles and FSCA requirements.
• Proficiency in CRM systems, investment platform portals, financial planning tools and Microsoft Office, with Excel essential.
• High attention to detail and numerical accuracy, with the ability to manage multiple cases, instructions and deadlines simultaneously.
• Strong written and verbal communication skills, with a professional, methodical and client-centric approach, high ethical standards and discretion when handling sensitive client information.
• Experience with major South African LISP platforms, insurers and advice software, as well as a Postgraduate Diploma in Financial Planning or progress toward CFP candidacy, will be advantageous.

Benefits and Compensation

Our client is offering a salary of R 40 000 per month, depending on qualifications, RE status and relevant experience.

• Exposure to a full-service advisory practice covering investments, retirement and risk planning.
• Structured support towards further FAIS qualifications and professional designations.
• A clear career path into roles such as Senior Servicing Consultant, Client Relationship Manager, Practice Manager or Associate Advisor, with further qualifications and RE status.
• Office-based role in a well-located business node in Bedfordview, Johannesburg.