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The Associate Adviser will report directly to the Principal Adviser.
The Associate Adviser’s primary role is to assist the Principal Advisers with the process of developing and subsequently implementing client advice and strategy.
Associate Advisers are assigned their own list of clients, and together with the Principal Advisers they provide those clients with holistic advice and support.
The Associate Adviser is responsible for the client file, the documentation of advice, the proper retention of compliance records, and the implementation of client strategies.
Being a key part of the advice process, the Associate Adviser is required to attend Annual Strategic Review meetings with clients, alongside the Principal Adviser.
The day-to-day work of an Associate Adviser includes producing Statements of Advice (SoAs), developing at times complex financial strategies, preparing the associated forms and paperwork, and ultimately the lodgement of forms and follow up associated with the implementation of the advice.
The Associate Adviser will report directly to the Practice Manager.
The primary responsibilities of the Associate Adviser are:
Key Performance Indicators
- Working closely with the Principal Advisers in developing complex strategies for new and existing clients.
- Developing a rapport and working relationship with his/her own list of clients.
- Liaising with super fund and insurance providers to obtain information on clients’ policies.
- Preparing high quality, accurate, timely and compliant SoAs.
- Assisting the Principal Advisers to ensure that all elements of the advice process are conducted in an ethical and compliant manner, in accordance with Minchin Moore policy, and the law.
- Managing the process of implementing the advice outlined in the SoAs. This may include the preparation of application forms, redemption/rollover forms, liaising with clients to ensure paperwork is signed and returned, liaising with clients through the insurance underwriting process, etc.
- Proactively assisting in the management of the client review process. This can include the preparation of “reverse fact finds”, contacting existing clients to update their information in Xplan and reviewing their recommended strategies and making appropriate changes.
- Assisting the Principal Advisers with financial modelling using XPLAN.
- Assisting the Practice Manager and Principal Advisers with workload management to meet and exceed client / potential client expectations.
- Undertaking various administrative tasks to support the Principal Advisers and the business.
- Communicating consistently with the Practice Manager and Principal Advisers regarding the progress of SoAs and implementation of advice for clients.
Key Performance Indicators
- Ensure timely communication with the Practice Manager and Principal Advisers on progress of workflow.
- Ensure that documents and advice produced are high quality, accurate and compliant.
- Ensure all facets of the advice process are conducted in a compliant and timely manner.
- Undertaking all tasks in accordance with policy, practises and procedures.