Principal: Advice

2 weeks ago

Cape Town, South Africa Nedbank Full time

**Job Classification**
- REQ: 133058
- Closing Date: 19 April 2024
- Division: Wealth Management South Africa
- Employment Equity Statement: Preference will be given to individuals from underrepresented groups.- Job Family- Investment Banking
- Career Stream- Advisory

**Job Purpose**
- To ensure business objectives are met in accordance with both Regulatory requirements and the Wealth Management Business Strategy.- Leadership Pipeline- Manage Self: Professional
- FAIS Affected**Responsibilities**:

- Lead, mentor/supervise/coach Wealth Managers & Financial Planners so that the Conduct is in line with Regulatory and Wealth Management business strategy.
- Collaborate with internal (and external) stakeholders.
- Compliance to regulatory requirements - taking ownership for the execution of Market conduct, governance, legal and compliance issues in the region.
- Support group legal, credit risk and compliance in the execution and monitoring there off.
- Attend all the relevant committees like Deal/Max com forums etc.
- Assist team with disputes, this include client complaints to ensure they are resolved and prevented.
- Take ownership in projects as the discipline expert to provide input and solutions to improve processes.
- Provide constructive responses to the Client Experience Team when they are investigating a complaint that emanates within area of responsibility collaborating with compliance and Principal for solutioning and feedback, i.e. documents on file etc.
- Supervising and performance managing staff i.e ensuring team is fit and proper (CPD, Training).
- Conducting random audits with the compliance team.
- Ensure Representatives or Key Individuals meet the necessary Fit and Proper Requirements as determined by Regulation and professional bodies.

**Job Responsibilities Continue**
- Embrace a collaborative mindset within the greater Wealth Management environment by creating awareness of advice solutions across other Wealth Management businesses.
- Assist with practice management.
- Coach or mentor Representatives on practice management principles and provide guidance in the implementation of a unique practice management approach that supports the over business objectives.
- Conform to Market conduct regulatory requirements.
- Ensure teams have the correct tools to service and support their segment.
- Ensuring client and stakeholder expectations are understood and met, building relationship through regular engagement.
- Ensure that the leadership agenda has been embraced by the division.
- Provide feedback to relevant stakeholders as may be determined from time to time.
- Participate in focus groups that may be established from time to time to address various external factors that have an impact on the execution of your responsibilities, such as changes in legislation or the formulation of guidelines.
- Provide input or suggestions to current processes. Coaching or mentoring addresses the skills aspect.

**Type of Exposure**
- Conducting benchmarking exercises to identify improvement opportunities. Establishing and maintaining collaborative relationships with peers / subordinates /managers.
- Managing multiple functions.
- Modelling and encourage a corporate culture.
- Presenting to various stakeholders.
- Essential Qualifications- Matric / Grade 12 / National Senior Certificate- Professional Qualifications / Honour's Degree- Relevant FSCA Accredited FAIS Qualification- RE 5- Preferred Qualifications- NQF 8 Certificate in Financial Planning or equivalent wealth management qualification
- RE 1
- Preferred Certifications- Chartered Accountant (SA), Chartered Financial Analyst, JSE Approved Executive, Institute of Chartered Secretaries and Administrators
- Minimum Experience Level- 5 years' people management experience in a related market and 5 years' experience in an Advisory role.**Technical / Professional Knowledge**
- Governance, Risk and Controls
- Industry trends
- Microsoft Office
- Principles of financial management
- Principles of project management
- Relevant regulatory knowledge
- Relevant software and systems knowledge
- Research methodology
- Decision-making process
- Cluster Specific Operational Knowledge
- Behavioural Competencies- Adaptability
- Coaching
- Communication
- Initiating Action
- Work Standards
- Managing Work
- Technical/Professional Knowledge and Skills
- **_Please contact the Nedbank Recruiting Team at +27 860 555 566_

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