PRCATICE MANAGEMENT

• Own & manage XPLAN as the key practice management tool to ensure processes are working efficiently
• Ensuring XPLAN software functionality is maximized to gain productivity efficiencies & quality improvements
• Assist with the regular prioritization & allocation of workflow within the team to meet business objectives & client expectations
• Proactively identifying opportunities & solutions for improvement/refinement & working with the Client Relationship manager & team to implement change
• Manage & oversea the administration & accuracy of fees & invoices

COMPLIANCE MANAGEMENT

• Own & manage XPLAN as the key compliance management system
• Maintain a sound understanding of operational compliance across all aspects of a boutique financial planning business that delivers an exceptional & comprehensive service to our clients
• Work collaboratively with your Client Relation Manager to embed operational compliance as part of how we do business

CLIENT SERVICES

• Build & maintain client relationships via efficient administration management & client contact, including management of the annual review program
• Arrange various client meetings for Advisors(diary management)
• Respond to client enquiries on behalf of the Advisors and refer calls to relevant staff members when unable to proactively assist
• Appropriately file note interactions with clients
• coordinate client communications& mailouts
• Supporting the Advisors and Client relationship managers with new client leads/enquiries
• maintain the monthly client newsletter-add new subscribers, remove archived clients, etc

Administration Support

• Assist with all aspects of the advice preparation, provision & implementation process
• Assist with the data gathering & fact-finding process, prepare, lodge & follow up Authority to Access Information requests. Prepare fact Find & update data in XPLAN
• Liaise with the paraplanners a& other team members to provide the necessary information required to prepare advice documents (SoA, RoA, etc)
• Prepare client meeting documents a& reports
• Prepare agenda for client meetings
• Take responsibility for filing notes & action items from client meetings. Notes/ recordings will be provided, & these are to be transported into required templates/ outputs
• Prepare Engagement Agreements & Fee Disclosure Statements, including processing of signed agreements
• Format & finalize review & Advise Document packs for provision to clients (in meetings or via mail/email), including adding necessary product profiles, PDS & compliance documents. Printing & binding or generating PDF for email.
• Accurately prepare & process all application forms, redemption, switch & amendment paperwork & monies. Lodge client paperwork & track until completed. Process confirmations
• Coordinate personal insurance new business workflow including pre-assessment requests, new quotes, underwriting requirements, etc
• Management of in-force client insurance policies-ensure sufficient cash for premiums, provide tax statements to clients & 3rd party Advisors, prepare new quotes, update client payment details, review existing loadings and exclusions, etc
• Assist the Client Relationship Manager with new and ongoing client personal insurance claims
• Update client files, including recording all transactions, and updating the system with changes in personal details
• Interact with clients & providers on issues relating to client accounts & transactions
• Ensures all documents are scanned and filed into clients e-files & XPLAN
• File clients emails to XPLAN for Advisors (where required)
• Maintain compliance fields in XPLAN - ID, FDS, dates, RoA/SoA dates, risk profiles etc
• Maintain data feeds in XPLAN - investments, platforms, Commpay, etc
• Maintain the XPLAN client portal - upload documents, process client forms, reset client passwords, etc
• Assist with the preparation of correspondence, letters, memos, file notes and reports
• Assist with projects as required
• Any other required by your Client Relationship Manager and/or Advisors.
• Ensure all transactions and documentation are cross checked by a team member prior to lodgment to ensure quality standards in accordance with licensee compliance framework
• Liaise with relevant fund managers, technical specialists, legal consultants, Accountants, Mortgage Brokers, Centrelink etc as required

• Approximately 3 years experience in a client service, compliance, advise operations or financial planning administration role within the financial services / wealth management sector
• Demonstrated organizational & prioritization abilities to effectively manage workflow
• High attention to detail & accuracy with a sound knowledge of compliance obligations
• Strong working knowledge of XPLAN
• Agile, individual contributor with ability to influence & collaborate with cross functional teams
• Confident communicator both written & verbal who is proactive & gets on with the job at hand
• Possess or currently working towards your Advance Diploma of Financial Planning or relevant Undergraduate Degree