Assistant Planner

SUMMARY:
Are you an experienced financial services professional with a passion for financial planning, investment administration, and client servicing? This opportunity is ideal for a detail-oriented individual who can support Financial Advisors in preparing compliant advice documentation, managing client instructions, and ensuring seamless service delivery.

POSITION INFO:


Company and Job Description:

Our client is looking for an Assistant Planner to provide essential planning, administration, and compliance support within a financial advisory practice. The successful candidate will act as a key link between clients, Financial Advisors, investment platforms, product providers, and internal teams, ensuring that advice documentation and client servicing activities are processed accurately and efficiently.

This role offers the opportunity to apply your financial services knowledge in a client-focused environment while contributing to the quality, compliance, and efficiency of the practice.


Key Responsibilities

• Prepare Records of Advice (ROAs) and Financial Needs Analyses (FNAs) as instructed by Financial Advisors.
• Assist with financial advice documentation relating to investments, retirement planning, and risk planning.
• Conduct product and investment platform research to support advice preparation.
• Review client financial information and flag potential gaps or risks to advisors.
• Process client instructions, including withdrawals, switches, contribution changes, beneficiary updates, and banking detail amendments.
• Prepare and submit documentation to investment platforms, insurers, LISPs, and administrators.
• Track outstanding instructions and follow up with providers to ensure timely completion.
• Conduct quality checks on client documentation, FICA records, risk profiles, mandates, and disclosures.
• Maintain accurate client files, CRM records, correspondence, and audit trails.
• Ensure compliance with FAIS, FICA, POPIA, Treating Customers Fairly (TCF) principles, and applicable regulatory requirements.
• Liaise with clients, advisors, paraplanners, and product providers to resolve administrative queries and delays.
• Support compliance audits, escalate potential risks, and maintain accurate advisor audit scorecards.

• Matric (Grade 12) is essential.
• A minimum NQF Level 5 Wealth Management qualification is specified; a relevant tertiary qualification in Financial Planning, Finance, Investments, or Economics will be advantageous.
• 2–5 years' experience in a financial advisory, investment administration, paraplanning support, new business processing, or client servicing environment.
• A FAIS-recognised qualification and RE5 are required, or the candidate must be working towards RE5.
• Good understanding of South African investment, retirement, and risk products, including investment platforms and LISPs.
• Working knowledge of FAIS, FICA, POPIA, TCF principles, and FSCA requirements.
• Proficiency in CRM systems, investment platform portals, financial planning tools, and Microsoft Office, particularly Excel.
• Experience with major South African LISP platforms, insurers, and financial advice software will be advantageous.
• Excellent attention to detail, numerical accuracy, organisational skills, and time management.
• Strong written and verbal communication skills, with a professional and client-focused approach.
• Ability to manage multiple instructions and deadlines, maintain confidentiality, and work effectively under pressure.