Financial Planning Partner Assistant – Hillcrest

SUMMARY:
Our client in the Financial Services Industry based in Hillcrest is currently looking to employ a Financial Planning Partner Assistant.

POSITION INFO:
Requirements:

• Financial Services Industry experience.
• Understanding of FAIS and FICA legislation.
• 2-3 years in the financial services industry is advantageous.
• Relevant tertiary education or courses.
• Computer skills: Microsoft Office (Excel, Word, Outlook essential), SharePoint, Xplan.
• Good verbal and written communication skills.
• High energy, customer-centric, and relationship-oriented.
• Methodical, accurate, with meticulous attention to detail.
• Organizational skills with the ability to prioritize, plan, and manage projects.
• Critical thinking: ability to strategize, research, and interpret.
• Problem-solving ability to apply creative skills in evaluating problems and identifying optimal solutions while being flexible to meet clients' changing needs.
• Resilient under pressure with the ability to multi-task.

• Implement the client services experience as defined by the Head of Operations.
• Oversee administrative processes and controls in the Financial Planning practice.
• Act as liaison between Financial Planner Partner and product providers.
• Manage client queries and transactions, ensuring efficient service delivery.
• Follow the formal complaint resolution process.
• Uphold the principles of Treating Customers Fairly.

• Collation of all client-related information (data discovery and fact find) and preparation of documentation for engagement between the Financial Planning Partner and client.
• FICA and AML capture and checking during client onboarding.
• Checking transition documentation for completeness and accuracy in alignment with the relevant client file checklist and lodgment rules.
• Administration of client transfers and new business transactions.
• Submission and monitoring of intermediary appointment notes to ensure clients successfully transfer to the license group and ongoing fees are received from relevant PPs.
• Capture, checking, and submission of new business documentation and applications, ensuring completeness and accuracy per lodgment rules.
• Monitoring underwriting and acceptance of new business transactions.
• Arranging medicals for clients where required and following up on outstanding requirements to ensure timely confirmation by relevant PPs.
• Providing ongoing service and maintenance support to the Financial Planning Partner and clients.
• Checking commission statements from CommPay and PPs, managing commission suspense accounts aligned to compliant new business lodgment.
• Escalating commission/fee issues with PPs as necessary.

• 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.

• 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 and financial data (ASTUTE, PPs, and manual) on Xplan.
• 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 checklists.
• Ensure proper record-keeping in line with business rules, legislation, and safe storage in Xplan.
• Distribute client communications as stipulated in the client management plan and as requested by the Financial Planning Partner via Xplan.
• Use Xplan notes and tasks extensively to manage client records and practice organization.
• Prepare for client reviews using the client review template and by producing and checking Client Consolidated Reports (CCR) from NAV.
• Maintain an accurate diary system with Xplan and Outlook integration.
• Address technology issues experienced by the Financial Planning Partner and liaise with IT support for solutions.

• Full awareness and understanding of information available on NAV to support the Financial Planning Partner(s).
• Track and monitor personal KPIs on NAV, seeking assistance from POM where gaps are identified.
• Liaise with the Financial Planning Partner on all data and practice attributes on NAV.

• Assist with organizing client events in conjunction with the events coordinator, including venue bookings, RSVP management, and event logistics.
• Support Financial Planning Partners at client events.
• Serve as the primary point of contact for clients to strengthen relationships.

• Support general office management, including reception, facilities, meeting room management, stationery, and marketing materials.
• Submit orders for stationery, business cards, marketing brochures, and client folders to the Partnership Operations Manager to avoid running out of stock.