About This Role
This hybrid, flexible position plays a critical role within a boutique wealth advisory practice, facilitating seamless service delivery. The role drives the execution of a key licensing migration while maintaining high-quality day-to-day client administration and compliance functions. It involves managing end-to-end client servicing across investment platforms, updating regulatory documentation, and ensuring all client records remain audit-ready.
Responsibilities
- Prepare, issue, and track new client mandates and agreements, following each document through to signature
- Refresh FICA documentation and client due diligence processes to ensure records are current
- Lodge and track transfer and adviser-change instructions with investment platforms, LISPs, and product providers to successful completion
- Communicate regulatory and administrative changes to clients in plain language, persistently following up on outstanding documentation
- Maintain real-time tracking of client migration progress and proactively identify potential delays
- Maintain comprehensive compliance files that meet FICA, FAIS, and POPIA regulatory requirements
- Execute daily client servicing instructions across investment platforms and product providers accurately and within set turnaround times
- Manage relationships with platforms and product providers, acting as a key operational contact point
- Support wealth advisers with the administrative execution of client decisions
- Organise and update client records and interactions within the internal CRM system
Requirements
- Meaningful client servicing or compliance administration experience within financial services, ideally in an independent advisory or wealth management environment
- Practical knowledge of FICA, FAIS, and POPIA compliance requirements applicable to client documentation
- Practical experience working with South African investment platforms (LISPs), product providers, and their transfer or adviser-change processes
- Demonstrated experience handling client mandates, onboarding documentation, and client agreements
- Strong written communication and organisational skills with attention to detail
- Ability to work in Cape Town on a full-time, hybrid basis
- Required Software Skills: Zoho (or a similar CRM system)
Nice to have:
- Prior exposure to a practice licence change, adviser move, or client book transfer
Benefits
- Flexible working hours structured around performance and output
- Professional, human-centric, and collaborative boutique wealth advisory culture
Important Details