Associate Financial Planner

Bataan Office

Full Time

Closing Date:
Wednesday, July 31, 2024

Can you provide paraplanning support to financial advisers? Do you have RG146 Certification? Are you familiar with XPLAN and Midwinter? 

If your answer is yes, then WE WANT YOU!

We are in need of Associate Financial Planners to provide administration and praplanning support to financial advisers and wealth managers. Candidates with paraplanning experience, particularly in pre- and post-SOA, have an advantage.

As an Associate Financial Planner, your duties and responsibilities include:

The Associate Financial Planner will report directly to the Team Leaders and Managers and will have, among others, the following responsibilities:

Portfolio Administration

  • Perform reconciliation of Funds’ investment portfolio transactions based on required reporting date.
  • Record manual entry holdings (without bank feeds) of diverse investments, dividends and franking credits, manual asset accounts, loans and loan re-payments
  • Reconcile trade summary reports (trade sheets) and XPLAN investment details
  • Execute corporate actions for distribution entitlement of shares and managed funds, among others
  • Prepare year end reports, performance reports, portfolio valuation and asset allocation
  • Account mapping and Transfer of Holdings
  • Compile source documentations for Funds’ audit
  • Update client data, personal and investment details (investment price update, change of trading platform)
  • Monitor correspondences and ensure appropriate communications are delivered to clients (XPLAN mail outs)

Post Statement of Advice Paraplanning Support

  • Obtain signed Authority to Proceed from the client and / or adviser.
  • Fill out forms for the client – online and paper application.
  • Obtain necessary signed form to execute the agreed advice.
  • Send all forms to insurers and / or superannuation providers for assessment.
  • Follow up daily on the status of each forms until completion
  • Notify clients and / or adviser of any changes on the assessment until completion.
  • Notify clients and / or adviser once forms have been actioned and everything is in place.
  • Obtain necessary information to corroborate the completion of the application.
  • Update client data on the system based on the information gathered.
  • Save files into the client file.
  • Monitor and update any changes on the status of the insurances, investments, and superannuation after completion of the application.
  • Book client appointment for financial planning review.
  • Rebalance client account as advice by the client.

General Duties and Responsibilities

  • Liaise with client to obtain source documentations, as necessary from time to time
  • Identify issues, in particular breach of compliance, resolution of these matters and appropriately report to Team Lead
  • Contribute to the set up and reinforcement of internal control procedures
  • Perform ad hoc assignments and other related work which may be assigned from time to time by Team Lead and/or clients

Ad Hoc Paraplanning Support

  • Daily checking and maintenance of Client’s email
  • Drafting of Pension Agreements
  • Sound file transcription
  • Preparation of minutes of meeting
  • Client ID Management
  • Mind Mapping of client’s personal and portfolio details
  • Perform ad hoc assignments and other related work which may be assigned from time to time by the client

Statement of Advice Paraplanning Support

  • Receive SOA requests from the advisers
  • Send acknowledgment email to client notifying the receipt of the SOA request
  • Obtain full analysis of the strategies and documents provided
  • Prepare confirmation email in relation to the understanding of the strategies and queries regarding the requests
  • Prepare Statement of Advice as per the confirmed strategy.
  • Conduct initial and / or final internal review of completed.
  • Statement of Advice.
  • Dispatch completed Statement of Advice to the advisers for review.
  • Do revision of the Statement of Advice if required by the advisers.


  • Must possess a bachelor’s degree in Accountancy, Business Administration, Business Management, or any equivalent.
  • Fresh graduates are welcome to apply.
  • Diploma of Financial Planning, RG 146 Certification qualification is a plus.
  • Relevant work experience in Paraplanning, or client services roles with practical skills in preparing Statement of Advice (SOA) is a plus.
  • Must have excellent written and verbal communication skills.
  • Must be confident in dealing with clients, firm financial advisors, and wealth managers.
  • An operational experience in XPLAN, Coin and Midwinter is a plus
  • Must have superior knowledge in Microsoft, Excel and PowerPoint.
  • Excellent in client management, able to meet deadlines, perform multiple tasks efficiently, able to work under pressure and manage time.
  • Have strong financial and analytical skills, and attentive to details.
  • Willing to be assigned to Balanga, Bataan.

The future of professional services.

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