Financial Planning Partner Assistant

Headhunters; George; On-site; ZAR 180,000 - 240,000; Full time

Job summary

Headhunters is seeking a detail-oriented financial services operations professional based in George to implement client service processes for Financial Planning partners. You will manage onboarding data, compliance checks (FICA/AML), and liaison with product providers, while supporting portfolio managers and CRM workflows in Xplan.

The role requires 2–3 years in financial services, relevant education, and strong MS Office skills; Xplan experience is essential.

Qualifications

• 2–3 years in the financial services industry advantageous.
• Relevant tertiary education or courses.
• Understanding of FAIS and FICA legislation.
• Computer skills: Microsoft Office (Excel, Word, Outlook essential); SharePoint.
• Xplan experience.

Responsibilities

• Implement 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).
• Liaison between Financial Planner Partner and product providers.
• Follow the formal complaint resolution process.
• Be the point of contact for clients to ensure efficient delivery of client requirements.
• Adhere to the culture and principles of Treating Customer Fairly.
• Collate all client information and prepare documentation for engagement.
• Capture and check FICA and AML data on client onboarding.
• Check transition documentation for completeness and accuracy in line with client file checklist.
• Administer client transfers and new business transactions.
• Submit intermediary appointment notes to relevant product providers.
• Monitor submission of intermediary appointment notes to ensure transfers to license group and fees collection.
• Capture and check new business documentation for lodgment rules.
• Submit new business applications with supporting documentation to relevant product providers.
• Monitor underwriting and acceptance of new business transactions.
• Arrange medicals for clients where required and follow up on outstanding requirements.
• Provide ongoing service and maintenance support to the Financial Planning Partner and clients.
• Check Commission statements from CommPay and product providers.
• Manage commission suspense accounts aligned to compliant lodgments.
• Escalate with product providers regarding commissions/fees due.

Skills

Financial services experience

FAIS & FICA knowledge

Education

Tertiary education or courses

Tools

Excel

Word

Outlook

SharePoint

Xplan

Astute

NAV

IWP

Job 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) fromNAV.
• Maintain an accurate diary system. (Xplan & Outlook integration)
• Address all technology issues experienced by the Financial Planning Partner and facilitate thesolution - 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.