Description:
Qualifications and ExperienceMatric and 2-3 years admin experience in the financial services industry is required
Purpose of the Role
The PA supports the Financial Advisor in providing the required levels of client services to clients.
The PA is part of a regional team and is encouraged to collaborate with other PA's in their office as well as with team members in the Region.
The PA takes responsibility for overseeing the administrative, operations and client services support to the Financial Advisor and is the liaison person between the practice and the regional office / head office.
Client Services
Implementation of 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 Advisors practice(s) (including all transactions, queries, reporting etc)
Liaise between Financial Advisors and product providers
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 Advisor
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 Advisor 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 Advisor and his / her clients
Check Commission statements
Manage commission suspense accounts aligned to compliant new business lodgment
Escalate queries regarding commissions / fees due to the Financial Advisor
Operational support for Portfolio Managers and CRMs
Assistants align with the PCS CRMs to ensure complete pre-population of PCS m
21 Feb 2025;
from:
gumtree.co.za