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Permanent - Assistant to Financial Advisor - Johannesburg - South Africa

Job Number: 73003

Assistant to Financial Advisor
MS Office
Financial Services
  • 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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  • Industry experience
  • Experience as an Assistant to Financial Advisor 
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