Team Leader : Group Platform Services

• Oct 2015 - Present

• Managing the operational efficiency of the team, which might include managing the appropriate disciplinary procedures. • Verify and validate requirements/ compliance with regards to:o Regulator or legislation, i.e. FAIS, FICA, POPI etc.o Business ruleso Product rules (general) o Product supplier or FSP specific rules (general, not detail)• Ensure the smooth, efficient and zero defect of on boarding, processing and completion of transactions. This implies that SLA’s with the various business units detailing turnaround times, roles and responsibilities and possible penalties are in place and managed.• Managing the process of FASI checks (non-transactional). This means ensuring that a process is in place and is working efficiently to ensure that business requirements are adhered to regarding practice management (i.e. scoreboards): it is a quality assurance function• Liaise with various role players in the business i.e. Advice, OPS teams, other suppliers with regards to transactional progress/ follow up, i.e. operational matters

team Leader

• Oct 2000 - Present

Wealth Manager Assistant

• Feb 2004 - Sep 2015

Diary Management:Quarterly Reports:Generating, editing, printing, scanning and posting of reports on a daily basis.FilingContinuous scanning and filing of all correspondence and documentationBirthday cards / giftsSending out of Birthday cards and arranging gifts for the clients on special occasions. TransactionsSubmit transaction to compliance department, Follow up on submitted transactions. Transferring existing investment to different suppliers. Doing Section 37 and 14 transfers. Submitting switches to rebalance clients investment portfolio. Apply for Tax Clearance Applications to invest funds offshore. Maturities and surrendering of policiesSubmitting and follow the Retirement process form Provident funds and pension funds.Debtors:Monitoring of cash Paying ClientsAttending to outstanding structuring fees on the planning and management side.Attending to the exception reports on a monthly basis.Making sure that all clients have loaded recoupment optionsMaking sure that all outstanding managements fees are collected within the 30 working daysSubmitting of manual recoupments in the instance of resignationManaging of Structuring and Management Fee AggregationsFICA/FAIS/ Wills &Mandates:This is a constant task that requires me to check that we have the following at all times for the client:- Valid Mandate- FICA – All valid FICA Documents on system- FAIS – Cashflow and Minutes scanned after every appointment and as per the calendar- Attending to FAIS/FICA /Mandate list per month- Generating, scanning and posting out of closing letters- Ensure that all clients has a signed will- Making sure that we are compliant with the rules as set out FICA and FAISSupplier and Client Liaison