Independent Financial Advisors:

Fio Financial Planning is an authorised FSP (49153) with a national and international footprint that is continually growing.

We are offering qualified financial advisers with the relevant industry qualifications and experience an opportunity to work off our fantastic platform.

Minimum Requirements

• Matric / Grade 12
• RE 5 (Compulsory)
• NQF 5 (120 Credits)
• At least 2+years’ financial services sales experience or 2+ years’ experience as a paraplanner
• Knowledge of long and short-term insurance, investment, risk or health-management-related products
• MUST be strictly aligned to TCF principles and future fit processes

We Offer

• Compliance/Administration/Full back office support
• A competitive commission % split
• The opportunity to earn from multiple income streams within the Fio Group
• Contracts with major product providers with exposure to SADC opportunities
• The flexibility to work remotely
• No traditional corporate culture

Rakesh Singh

M 0828129268

E rakeshs@fiofactor.com

Rakesh Jeewan

M 0645943383

E rakeshj@fiofactor.com

Galileo Capital Wealth have Relationship Manager positions available in Hyde Park Johannesburg.

Job Description: This is a great opportunity to join a mature financial planning practice and to work in collaboration with an experienced Financial Planner. The successful applicant must be a focused individual who follow an orderly, detailed and systematic approach to work, with a high level of accuracy whilst also able to work under pressure. The successful applicant must be a self-motivated individual with clear and concise communication skills – verbal, writing and telephone, and be able to work in a team. The successful applicant must maintain best practice standards and comply with all present and future statutory and regulatory requirements regarding specific financial products, personal character qualities, qualification requirements, experience requirements and professional conduct.

Qualifications/ requirements:

• Preferably 10 years relevant work experience in the financial planning and wealth management industry, preferably working with a financial advisor in an assisting or administrative capacity
• Knowledge and working experience of relevant systems and tools (CRM and Planning) used in practices
• Matric Certificate
• RE 5 Certificate (not requirement but recommended) and relevant industry training i.e. FICA and POPI
• Study towards a relevant industry qualification will be a recommendation but not a requirement
• Computer literacy in Excel, Word and Office is critical
• Fluent in English and Afrikaans, verbal and writing

Please forward your CV and proof of qualifications to gerda@galileocapital.co.za

Job Purpose:
The Assistant Compliance Officer will form part of the Compliance team that supports the Vunani Fund Managers [VFM] Board of Directors and senior management by ensuring that VFM complies with its statutory and regulatory obligations and has effective compliance systems and controls in place. Compliance risk management services include identification, assessment, management and reporting on compliance risks faced by VFM.

Min Experience and Qualification requirements:

• Minimum of 2 years’ compliance or risk management experience within the financial services industry, preferably at a Cat II FSP;
• B. Comm / Legal / Other Degree approved in terms of FAIS for Compliance Officer appointment;
• Must meet the Fit and Proper requirements in respect of Honesty and Integrity;
• Must not be an unrehabilitated insolvent, must not have entered a compromise with creditors or been provisionally sequestrated or liquidated;
• Must have written and passed RE01 & RE03 FAIS Regulatory exams; if not, the successful applicant will be required to do so as a condition of employment;

Must already have Phase 1 approval as a compliance officer from the FSCA; if not, the successful applicant will be placed under supervision for a period of 3 years with the aim of being appointed as a Compliance Officer on VFM’s FAIS license.

Knowledge requirements:

• Good working knowledge of FAIS and subordinate legislation/board notices /guidance notes
• Good understanding of Anti Money Laundering legislation, FICA and its regulations
• Strong working knowledge of financial markets and instruments

Areas of responsibility include but are not limited to:

• Monitoring of daily mandate compliance, as well as CISCA, REG28, REG 30 and other relevant industry regulations
• Assistance with onboarding new clients, mandate review, preparation of take-on documentation, FICA, interpretation of client mandates and assigning of compliance rules
• Assistance with maintaining FAIS & FICA policies and procedures in accordance with legislative and statutory requirements and amendments
• Monitoring and reporting on compliance with VFM’s Internal Policies:
  • Personal Account Trading
  • Conflicts of Interest and Gifts
  • Fit and Proper requirements for VFM Key Individuals and Representatives
  • Code of Ethics and Standards of Professional Conduct
  • Continuous Professional Development
• Assistance with ongoing FICA reviews, uploading and maintaining client KYC on DocFox for sanction screening
• Assistance with all submissions to the FSCA and FIC
• Keeping abreast of changes to the regulatory landscape applicable to VFM
• Assistance with analysing the impact of new legislation and regulations and implementing the new requirements
• Assistance with reporting to the Regulator, clients, the Board of Directors and Management in terms of the mandate, statutory requirements and VFM internal processes

Skills, Competencies and Personal Attributes:

• High respect for confidentiality
• Strong work ethic
• Excellent verbal and written communication skills
• Accuracy and attention to detail is of the utmost importance
• Self-starter who is self-driven and self-directed
• Ability to work under pressure, independently and as part of a team with minimal supervision
• Excellent time management skills, ability to plan and prioritise, deadline-driven
• Ability to perform tasks in an objective and unbiased manner
• A proactive approach to problem-solving

All appointments will be made in line with our Employment Equity Policy and centred around meeting our objectives. If you have not heard from us 2 weeks after the deadline – please consider your application unsuccessful.

Maxi Forces (Pty) Ltd is an established company in the Insurance Industry with a vacancy in our Head Office (Centurion). We are in search of a person that is self-motivated, shows initiative, determined to meet personal goals and objectives, can deliver results, meet customer expectations and is persistent and persuasive.

Key Responsibilities:

• Liaison with External Compliance Officer
• Liaison with Regulators – FSCA
• Liaison with Regulators – FIC
• Liaison with Product Providers
• FSCA Profile Changes
• Supervision of Representatives
• Fit and Proper Manager System
• Implementation, approval and review of internal policies and procedures
• Training (Product/FAIS/FICA)
• TCF reporting to Guard risk
• Complaints processing & handling
• Money Laundering Reporting
• Advertising sign off in terms of FAIS requirements
• Monitoring

The successful candidate must meet the following requirements:

• Matric (Grade 12)
• Finance Industry related qualification registered with the FSCA
• Experience would be advantageous
• Exposure to the interpretation of legislation for insurance and financial services environment -advantageous
• Effective communication – Written & Verbal

Market-related basic salary

To apply for this position please quote ref:  MF/02/2020

CV’s must be faxed to 086 647 3362 or e-mailed to hr@swu.co.za Closing date 15/03/2020.

If you are not contacted by 31/03/2020, accept that your application was unsuccessful.

** Please Note: (i) Shortlisted candidates may be subjected to assessments. (ii) All appointments are subject to Qualification, Credit & Criminal Check verification.  (iii) The employer reserves its right not to make an appointment.   

– Identify and writing new Short Term Insurance Business

– Service new and existing clients

– Personnel management

– Reporting

– Cross selling within UNIGRO Financial Services

– Budget management

– Training and Development

A position exists for an Investment Analyst within the investment analytics team.

This individual will be responsible for assisting in the investment division in providing Portfolio construction analytics, accurate break downs of returns and their attributions, assist in creating investment products and help analyse the breakdown of multi-management funds. There will be some liaison work with both internal and external clients around portfolio construction and performance.

Key responsibilities

• Pricing
  –     Acting as resource and part of a team, responsible for the daily updating of pricing models, by capturing or uploading the prices to the system
• Product cash flow management
  –     Checking and updating product cash flow management, investment, disinvestment and switch instructions across all funds and products
• Portfolio analytics and rebalancing
  –     Preparing rebalancing spreadsheet
  –     Reviewing asset allocation and compliance to Regulation 28
  –     Instructing asset allocation cash flows to realign funds to strategic exposures.
  –     Undertaking accurate assessment of portfolio exposures from a risk and return perspective
• Manager review and due diligence
  –     Reviewing manager performance, fund exposures, risk and market views
  –     Reviewing investment house for compliance, process, philosophy and skill
  –     Discussing portfolio exposures and performances with managers
  –     Attending investment report-backs with managers
  –     Ensuring integrity of qualitative and quantitative data utilised in screening models
  –     Writing Excel formulas for screening purposes (running model)
  –     Detailed review of model, formulas and results after screening process
  –     Opening of Style Advisor and asset allocation systems
  –     Reviewing manager performance, fund exposures, risk and market views
  –     Enhancement and further development of systems to ensure optimal operational efficiency
• Reporting
  –     Assisting with preparation of investment reports for clients
  –     Preparing scatter plots monthly
  –     Preparing and reviewing fund facts sheets and information sheets
  –     Assisting with ad hoc reports for internal and external use
  –     Assisting with preparation of Market Update monthly
  –     Assisting with preparation of Trendline quarterly
  –     Preparing asset allocation reports for external managers
  –     Preparing and presenting economic and fund performances to clients
• Compliance and regulatory reporting
  –     Assisting with preparation of Reg28 reports
  –     Assisting with preparation of SARB and / or FSCA reports
• Performance
  –     Preparing / reviewing fund performances
  –     Preparing / reviewing benchmark performances
  –     Preparing / reviewing manager performances
  –     Preparing / reviewing daily pricing monitor
  –     Assisting with preparation of performance attribution for institutional clients
• Portfolio and Product construction
  –     Assisting with portfolio construction process
  –     Building models and assessing return profiles for products and funds
  –     Researching alternative portfolios
  –     Understanding asset class exposures and impact of changes to construction models
• Risk management
  –     Measuring portfolio risk against benchmark
  –     Reviewing manager exposures relative to market risk
  –     Reviewing combined portfolio risk relative to benchmark
  –     Reviewing manager portfolio changes and implied risk – currency, commodities, etc.
• Internal and external presentations
  –     Preparing and presenting Monthly sales meetings – economic and performance
  –     Preparing and presenting Weekly market update – economic and performance
  –     Preparing and presenting Client quarterly investment report back
  –     Preparing and presenting Client ad hoc Investment Sub-Committee meetings
  –     Assisting with preparation and presentation for GTC Investment Sub-Committee meetings
  –     Preparing and presenting New business sales presentations
  –     Reviewing manager performance, fund exposures, risk and market views
• Research
  –     Assisting with preparation of comparative performance relative to surveys
  –     Reviewing market information (newspapers, periodicals, presentations, etc.)
  –     Reviewing local and international research
  –     Reviewing market views of assets classes
  –     Assisting with preparation of Economic reviews – for clients

Skills and experience required

• B.Comm or BSC business degree with a post-graduate qualification (Hons/CA/CFA/Actuarial exams, etc.) essential
• CFA preferred
• An actuarial degree or progress towards qualifying as an actuary preferred
• Economics background or formal qualification and advantage
• Financial risk management or risk attribution experience preferred
• Registered Persons exams an advantage
• CFP subjects passed or FPI member is an advantage
• Minimum of 3 to 5 years’ experience, which could include investment consultant, investment analyst, portfolio manager, financial risk manager, trading financial markets, investment product design, marketing of financial services, actuarial consultant
• General investment management knowledge needed
• Understanding of investment strategies essential
• Ability to understand and evaluate asset manager strategies and processes
• Excellent working knowledge of MS Office (Word, Excel, Outlook), proprietary software program and licensed software such as Style Research, Style Advisor, etc.
• Driver’s license
• Ability to travel
• Fluent in English

Personal attributes

• High ethical standards / personal integrity
• Strong verbal and written communication
• Interpersonal sensitivity
• Self-motivated
• Strategic awareness
• Organisational awareness
• Focus on continual learning
• Dedication to servicing client requirement according to the standard operating procedures within the compliance framework.

Office hours

08:00-17:00 but may be times where deadlines need to be met and extended hours become necessary.

Key responsibilities

• Claims process
  –     Generation of redemption instructions
  –     Process disinvestment ROTs for claim transfers
  –     Process tax applications
  –     Generate claim EFTs
  –    Validate and sign-off claim letters
•  Contributions – Month end process
  –     Monthly contributions
  –     Month-end accounting and financial control
  –     Bank account monitoring
• Client reporting
  –     Preparation and compilation of various reports per internal or external requests
  –     General system static reports
• Communication
  –     Query logging and escalation
  –     Internal and external feedback
• Month-end process
  –     Processing S14s transfers in
  –     Bank reconciliations and linking
  –     Monthly audit working paper preparation
  –     Process all investment trades
  –    Pricing and validation of investment trades
• Activity management
  –     Activity planning
  –     Completion, validation and sign-off on daily tasks
  –     Monitoring of activity progress
  –     Management escalation
  –     Manage and maintain the claims inbox and ensure that members are exited on Everest
  –     All related documents (as per the above) to be uploaded to Workflow within 24 hours of receipt in the mailbox

Skills and experience required

• Matric with Higher Grade Maths with a minimum C symbol or equivalent thereof
• Minimum of 3 years working experience in a similar environment
• Excellent working knowledge of MS Office (Word, Excel Advanced, PowerPoint, Outlook)
• Degree or Diploma in Finance completed or in progress
• Strong working knowledge of figures

Personal attributes

• Ability to work independently
• Self-motivator
• Professional
• Attention to detail
• Ability to liaise at all levels, both verbally and in writing
• Ability to investigate, analyse, reconcile and solve problems
• Time management, planning and prioritisation skills
• Ability to cope well under pressure
• Proactive
• Deadline driven

Office hours

• 08:00-17:00
• There will be occasions where the incumbent would need to work overtime.

Please submit applications to recruitment@gtc.co.za by 29 February 2020

The ideal candidate should be an assertive, deadline orientated individual with strong administration and good interpersonal skills.

Requirements: Matric; minimum 5 years’ experience in the Short-term Insurance Industry; computer literacy (MS Word, Outlook and Excel); must be FAIS qualified with RE completed.

Responsibilities and duties will include but are not limited to:
– Quotations
– Issuing of new business
– Processing policy endorsements
– Monthly renewals

Email CV to greg@cookefuller.co.za