Port Elizabeth: Financial Planner (Cat II) – Port Elizabeth posted by Headhunters

Our Client, a national leader in the Financial Services Industry is seeking to employ an experienced Financial Planner – Category II (FAIS Compliant) to their team based in Port Elizabeth.

This role offers a highly competitive fixed monthly salary.

Awesome career opportunity to work for a leading and well reputed financial services business in Port Elizabeth.

Requirements:

• FAIS-recognised qualification(s) appropriate for Category II discretionary services.
• RE1 and RE5 successfully completed
• Must meet FAIS Fit and Proper requirements, including honesty, integrity, and competency standards.
• Valid and up-to-date CPD record.
• Preference will be given to a Certified Financial Planner qualification or a candidate with an equal tertiary education.
• Proven experience in discretionary portfolio management or investment advisory within a licensed Category II FSP
• Demonstrated experience managing and transitioning an existing client book.
• Strong understanding of investment markets, portfolio construction, and risk management.
• Ability to operate within structured governance and compliance frameworks.

Responsibilities, but not limited to:

• Provide discretionary investment management services in line with approved mandates and within the scope of the firms Category II licence.
• Assume responsibility for an established client book, ensuring a structured and compliant transition from the retiring partner.
• Implement, manage, and review client investment portfolios in accordance with agreed investment mandates, risk profiles, and objectives.
• Exercise discretion responsibly when making investment decisions, ensuring alignment with client mandates and internal investment policies.
• Conduct regular portfolio reviews and performance assessments, communicating outcomes clearly to clients.
• Maintain comprehensive and accurate client records, including mandates, investment instructions, and reporting.
• Ensure full compliance with FAIS, Fit and Proper requirements, TCF principles, and internal compliance procedures.
• Prepare and maintain all required disclosure and reporting documentation.
• Engage with internal investment committees, compliance teams, and support functions as required.
• Maintain existing client relationships as well as strategically build, promote and establish new business.
• Participate in a formal handover process with the retiring partner to support client continuity and confidence.
• Communicate transparently with clients regarding adviser changes, mandates, and investment decisions.
• Uphold fiduciary duties and ethical standards expected of a discretionary investment manager.

Please note that should you not receive a response within 2 weeks of applying, you may consider your application unsuccessful.