One of South Africa's leading financial services companies is looking for Sales Associate to Manage relationships focused mainly on the Independent Financial Advisers (IFA’s).
Adhere to the Code of Ethics and related policies, including personal account dealing, gifts, inside information, etc.
Ensure Compliance forms and declarations are completed and returned on a timely basis
Ensure timely completion of Compliance training
Ensure that you maintain appropriate level of training and threshold competence levels
Ensure you keep up to date on procedures and best practice relevant to your job responsibilities
Ensure regulatory, client and other corporate records are maintained
Ensure that firm and client data and property, including IT data, are properly protected and that advised best practices are followed to maintain confidentiality and security of all data
Report any possible and actual breaches, errors, or complaints
Report any possible concerns about conduct or unfair treatment of customers to Compliance
Report any suspicion that a client, investor, or employee may be involved in money laundering, fraud or other crime
Being alert to possible wider Compliance and Operational Risk issues within the general business Non-mandatory responsibilities :
Ensure that your team procedures are kept up-to-date
Ensure that all changes in business practice are taken through the appropriate business forums
Ensure ring that regulatory, client and other corporate reporting deadlines are met
Ensure that if handling client monies and client assets that they are properly protected, recorded and reconciled
Maintain Chinese walls or ethical walls with other parts of the Organisation Group and within IAM under the inside information requirements
BCom or equivalent qualification
CFP or CFA or Registered Persons Exam
Minimum of 3 to 5 years with a reputable company.
Current employment within the Investment Consulting Environment or Financial Planning Environment would be preferable.
Proven track record with strong relationships within the industry
Good knowledge of Unit Trusts and Platform Products as well as commercial business knowledge.
An understanding of the administrative and legal aspects of investment products.
Comprehensive understanding of the Adviser business environment
Fluent in English and Afrikaans
Kindly note, if you have not heard from us within two weeks of your application please consider it unsuccessful.
Banking / Finance And Investment