Financial Planning Assistant - Hillcrest
The "Financial Planning Assistant" supports the Financial Planner in providing the required levels of client services to our clients. The Assistant is part of a regional team and is encouraged to collaborate with other Assistants in their office as well as with team members in the Region. The
Assistant takes responsibility for overseeing the administrative, operations and client services support to the Financial Planner and is the liaison person between the practice and the regional office / head office
Client Services
Implementation of the client services experience
Take full responsibility for the implementation of administrative processes and controls in the Financial Planners practice(s) (including all transactions, queries, reporting etc.)
Liaison between Financial Planner 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 Planner
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 Planner 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 transaction
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 Planner 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 Planner
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 (companys internal CRM) tasks
IT & Systems
Preparation of client portfolios 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 Integrated Wealth Planning for handover to BDM or Financial Planner
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 Planner 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 companys proprietary software that manages all aspects of the Partners practice)
Maintain an accurate diary system. (XPlan & Outlook integration)
Address all technology issues experienced by the Financial Planner and facilitate the solution - liaison with the IT support desk etc.
NAV & KPIs
Full awareness and understanding of information available on NAV to support the Financial Planner
Track and monitor personal KPIs on NAV
Request assistance and guidance from POM where KPI scores reflect gaps
Liaise and orientate with the Financial Planner 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 Planner 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
Knowledge
Financial Services Industry
Understanding of FAIS and FICA legislation
Competencies
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 & resourceful
Resilient under pressure Apply Now
Assistant takes responsibility for overseeing the administrative, operations and client services support to the Financial Planner and is the liaison person between the practice and the regional office / head office
Client Services
Implementation of the client services experience
Take full responsibility for the implementation of administrative processes and controls in the Financial Planners practice(s) (including all transactions, queries, reporting etc.)
Liaison between Financial Planner 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 Planner
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 Planner 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 transaction
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 Planner 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 Planner
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 (companys internal CRM) tasks
IT & Systems
Preparation of client portfolios 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 Integrated Wealth Planning for handover to BDM or Financial Planner
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 Planner 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 companys proprietary software that manages all aspects of the Partners practice)
Maintain an accurate diary system. (XPlan & Outlook integration)
Address all technology issues experienced by the Financial Planner and facilitate the solution - liaison with the IT support desk etc.
NAV & KPIs
Full awareness and understanding of information available on NAV to support the Financial Planner
Track and monitor personal KPIs on NAV
Request assistance and guidance from POM where KPI scores reflect gaps
Liaise and orientate with the Financial Planner 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 Planner 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
Knowledge
Financial Services Industry
Understanding of FAIS and FICA legislation
Competencies
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 & resourceful
Resilient under pressure Apply Now
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