Administrative Assistant

Administrative Assistant

Location: Johannesburg, South Africa

Department: Operations

Start Date: As soon as possible.

Closing date: Friday, 12 April 2024

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Core Functions

This specialised administrative role plays a supporting role in assisting financial advisors by providing quality administrative support and operational efficiency. This role involves collaborating with the Operations Team based in the Cape Town office. 

Details of Functions

  • Support with Information gathering from local providers when needed 
  • Liaise with Private Wealth Managers to obtain outstanding requirements (if needed) 
  • Prime (an internal CRM tool) business champion – supporting projects, ad hoc tasks, and checking (including but not limited to servicing)  
  • Tracking submitted business outstandings and requirements for the Onshore/Offshore business 
  • Assist CRM (Client Relationship managers) with certification and required documentation. 
  • Attend to submission of debriefs and attend to client inquiries. 
  • Preparing Offshore Due Diligence documents in line with FICA requirements when Offshore providers need their file records updated. 
  • Liaise with local and overseas offices and product providers on administrative related matters 
  • Arrange with Reception/Front of House to assist when client FICA documents are to be couriered Internationally. 
  • Administering spreadsheets that contain live movements on case preparation and inquiries if applicable 
  • Support with the registration of foreign exchange provider application  
  • Attend meetings held by Managers and Service Providers upon request  
  • Maintain the highest levels of administration and complete client documents in the parameters of the compliance department. 
  • General administrative duties as required 
  • Attend to Line Managers’ priority tasks while supporting the rest of the team 

Qualifications, Experience and Skills

Essential Qualification: Senior Certificate, Relevant Diploma/Degree, or an equivalent qualification. Business Administration Certificate or related qualification.

Total number of years’ experience: 3 years’ experience in administrative work in Financial Services. 

Personal Attributes

  • Excellent problem–solving abilities 
  • Good communication skills across a range of levels in the business 
  • Ability to work independently. 
  • Attention to detail and a high degree of data literacy 
  • Good time management and the ability to meet deadlines 

Compliance Administrator

Compliance Administrator

Location: Cape Town, South Africa

Department: Compliance

Start Date: As soon as possible.

Closing date: Tuesday, 19 March 2024

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Core Functions

To mitigate risk for the company by ensuring that advisors are providing suitable advice to clients, according to client needs and risk appetite; ensuring that all advisors are Fit and Proper, and relevant documentation is completed in order for the advisors to perform their roles.

Details of Functions

Compliance Duties:

  • Compliance review of all New Business and Servicing cases submitted for the Carrick Group.
  • Submission of Fund Selection and Withdrawal cases to various providers.
  • Maintaining and Administering the Representative Register.
  • Maintaining and Administering the Competency Register (e.g. CPD and Supervision tracking).
  • Fit and Proper checks for New Wealth Managers.
  • Ensuring all New Wealth Managers are provided with a “Starter Pack” (e.g Rep Disclosures drawn up, RMCP Emails to be sent, Submission of Masthead Applications, Drawing up of Supervision Forms).
  • Ensuring all Quarterly declarations have been sent and received
  • Drafting and sending correspondence to clients and external providers.

Adhoc Support:

  • Assisting new Para-planners with pre-checking and training on Client Advice Records.
  • Assisting terms of business with various Product Providers.
  • Assisting Compliance Manager with complaint investigation and resolution.
  • Data analysis for the purpose of resolution to investigations.

Qualifications, Experience and Skills

  • Essential Qualification: Senior Certificate/Matric, post Matric advantageous.
  • Total Number of Years’ Experience: 3 – 5 years working experience in wealth management industry.
  • Type of Experience and Behavioral Competency: Prior work experience in compliance.
  • Preferred qualifications include RE1, RE5, or any other qualifications associated with wealth management.
  • Computer literacy (MS Word, Excel, Outlook – intermediate).
  • Excellent communication skills (verbal and written).

Personal Attributes

  • Solutions oriented.
  • High level of professionalism and confidentiality.
  • Self-managed.
  • Stress tolerance.
  • Able to thrive in a high pressure, fast paced environment.
  • An unquestionable work ethic.
  • Excellent judgement, interpersonal and decision- making skills.

Data Analyst (Junior)

Data Analyst (Junior)

Location: Cape Town, South Africa

Department: New Business

Start Date: As soon as possible.

Closing date: Tuesday, 19 March 2024

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Core Functions

In this role, you will play a crucial role in interpreting Carrick Wealth’s data to provide actionable insights. Responsible for processing, analysing, and collecting data from various sources. You would be relied on to use statistical tools to identify, analyse, and interpret patterns and trends in complex data sets. You will work closely with management to prioritise business and information needs.

Details of Functions

  • Responsible for the compilation and distribution of business reports to relevant stakeholders.
  • Prime (Client Relationship Management System) business champion – supporting projects, ad hoc tasks, and checking
  • (including but not limited to servicing).
  • Create reports and presentations to effectively communicate findings and recommendations to the team and management.
  • Translate user requirements into highly specified reporting.
  • Identify options for potential solutions and assess them for both technical and business suitability.
  • Draw up proposals for modified or replacement reporting and present them to relevant parties.
  • Oversee the implementation of the new system(s)/enhancements.
  • Continuously ensure that tasks and projects are completed within deadlines and that any rework is limited.
  • Monitor and improve the efficiency of business processes, as well as collect and interpret data about existing processes.
  • Continuously keep up to date with technical as well as industry sector developments and investigate alternative business
  • solutions.
  • Reduce manual tasks and direct costs as well as provide efficiencies through the use of technology.
  • Interpret business processes into user interaction flows and screen layouts.
  • Provide training to users on the new system(s)/enhancements.

Qualifications, Experience and Skills

  • Essential Qualification: Related Qualification (Certificate, Diploma, Degree).
  • 3 years of previous data analyst experience.

Personal Attributes

  • Excellent analytical and problem–solving abilities.
  • Good communication skills across a range of levels in the business.
  • Ability to work independently.
  • Attention to detail and a high degree of data literacy.
  • Good time management and the ability to meet deadlines.

Para-Planner

Para-Planner

Location: Cape Town, South Africa

Department: Operations

Start Date: As soon as possible.

Closing date: Friday, 12 April 2024

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Core Functions

In this role, you be responsible for supporting the Senior Private Wealth Manager with financial analysis and planning for all new business. As an experienced Paraplanner, you will provide support to the Senior Private Wealth Manager in the development and maintenance of client financial plans. Your work will provide detailed research, analysis of client’s financial circumstances, and preparation of financial planning recommendations and reports. This role does not include case preparation.

Details of Functions

  • Assist the Senior Private Wealth Manager in the research and analysis of the client’s financial situation, goals, and objectives.
    Responsible for all-around financial planning, estate planning, investment research, and product/solution recommendations.
  • Prepare and compile financial analysis reports, including cash flow analysis reports, investment projections, retirement planning, and risk management.
  • Develop comprehensive financial plans that meet client’s needs and objectives.
  • Make use of internal financial planning software to create scenarios and projections.
  • Ensure compliance with financial legislation and regulations throughout the financial planning process.
  • Support the Senior Private Wealth Manager to review clients’ files and identify planning opportunities.
  • Work closely with service providers to understand products.

Qualifications, Experience and Skills

  • Essential Qualification: Senior Certificate/Matric, post Matric advantageous.
  • Total Number of Years’ Experience: 5 years working experience as a planner or adviser.

Type of Experience:

  • Prior work experience in phone calling leads.
  • Preferred qualifications include RE1, RE5, or any other qualifications associated with wealth management.
  • Computer literacy (MS Word, Excel, Outlook –intermediate).
  • Financial industry background preferable.

Personal Attributes

  • Excellent analytical and strong problem-solving abilities.
  • Must be able to work independently.
  • Excellent analytical and problem–solving abilities.
  • Good communication skills across a range of levels in the business.
  • Attention to detail and a high degree of data literacy.
  • Good time management and the ability to meet deadlines.
  • Demonstrated proactive approaches to problem-solving with strong decision-making capability.
  • In-depth financial product offering knowledge.

Talent Acquisition Specialist (Sales)

Talent Acquisition Specialist (Sales)

Location: Cape Town, South Africa

Department: Human Resources.

Start Date: As soon as possible.

Closing date: Tuesday, 19 March 2024

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Core Functions

At Carrick Financial Services we’re always looking to strengthen the organisation by adding the best available people to the team. We’re seeking a talent acquisition specialist to help us source, identify, screen, and hire candidates for various roles in the company.

The ideal candidate will have excellent communication and organisational skills, two or three years of experience in talent acquisition, proficiency with applicant tracking systems, and an ability to devise sourcing strategies for potential applicants. This role requires excellent interpersonal skills for working closely with others across various departments.

Details of Functions

Candidate Sourcing:

  • Utilising various methods such as job boards, social media, and networking referrals to identify potential candidates.
  • Devise and implement sourcing strategies, such as an employer branding initiative, to build pipelines for potential applicants.
  • Ensure that staffing needs are being met with a long-term strategy in mind.
  • Organize and attend job fairs and recruitment events to build a strong candidate pipeline.

Candidate Screening:

  • Reviewing resumes, conducting initial interviews, and assessing candidates’ qualifications, skills and fit for the job.
  • Provide input to ensure that teams consist of diverse, qualified individuals.
  • Using standardized screening techniques, Assess the skills, qualifications and experience of potential candidates.
  • Conduct preliminary interviews with recruits to gauge interest, personality and salary requirements.
  • Provide feedback to management about details regarding applications.

Interview Coordination:

  • Scheduling and coordinating interviews with hiring managers and candidates.

Job Posting:

  • Creating and posting job listings on various job boards, the company website, and other relevant platforms.

Candidate Engagement:

  • Maintaining communication with candidates throughout the recruitment process, providing updates, and addressing their questions.

Assessment and Evaluation:

  • Administering assessments or tests, checking references, and conducting background checks as necessary.

Data Management:

  • Maintaining application tracking system (ATS) and databases to track candidate progress and maintain candidate records.
  • Maintain records of all materials used for recruitment, including interview notes and related paperwork, to share with key stakeholders.

Market Research:

  • Staying informed and abreast about industry trends and salary benchmarks.

Reporting:

  • Providing regular reports and analytics on recruitment metrics to evaluate the effectiveness of the hiring process.

Employer Branding:

  • Contributing to the development and maintenance of the company’s employer brand to attract top talent.

Continuous Improvement:

  • Identifying areas of improvement in the recruitment process and implementing best practices.

Adhoc/Other:

  • Work closely with management on all diversity initiatives involving recruitment to ensure fairness in hiring practices.
  • Meet with Human Resources to have a full-scale understanding of hiring needs and available positions within

Qualifications, Experience and Skills

  • Essential Qualification: Senior Certificate/Matric, post Matric advantageous.
  • Total Number of Years’ Experience: 5 years working experience as a planner or adviser.

Type of Experience:

  • Prior work experience in phone calling leads.
  • Preferred qualifications include RE1, RE5, or any other qualifications associated with wealth management.
  • Computer literacy (MS Word, Excel, Outlook –intermediate).
  • Financial industry background preferable.

Personal Attributes

  • Excellent analytical and strong problem-solving abilities.
  • Must be able to work independently.
  • Excellent analytical and problem–solving abilities.
  • Good communication skills across a range of levels in the business.
  • Attention to detail and a high degree of data literacy.
  • Good time management and the ability to meet deadlines.
  • Demonstrated proactive approaches to problem-solving with strong decision-making capability.
  • In-depth financial product offering knowledge.

Client Servicing Administrator (Junior)

Client Servicing Administrator (Junior)

Location: Cape Town, South Africa

Department: Client Servicing

Start Date: Friday, 01 March 2024

Closing date: Wednesday, 21 February 2024

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Core Functions

This role involves documentation management and general administration. The ability to coordinate actions in such a way that the components work together in sound relation to each other. Responsible for overall administrative support to the Client Service Management Team.

Details of Functions

  • Full responsibility for the case preparation, to sign off internally and submit to providers.
  • Assist in scheduling and preparing for client meetings.
  • Maintain confidentiality of client information and sensitive data.
  • Monitor and maintain client account records and ensure compliance with regulatory requirements.
  • Prepare and distribute client statements, reports, and other documents.
  • Maintain organised and up-to-date client files and records on Carrick’s internal platform.
  • Assist in the preparation of presentations and reports for client meetings.
  • Provide administrative support to Wealth Managers and other team members as needed.
  • Collaborate with internal teams to ensure client requests are handled effectively.
  • Assistance with ad hoc projects as they arise.

Qualifications, Experience and Skills

  • Essential Qualification: Senior Certificate/Matric, post Matric advantageous.
  • Total Number of Years’ Experience: 2+ years’ experience in an administrative role.
  • Type of Experience and Behavioral Competency: Prior work experience in client servicing or clear evidence of strong administration skills and handling multiple workflows.
  • Preferred qualifications include RE1, RE5, or any other qualifications associated with wealth management.
  • Computer literacy (MS Word, Excel, Outlook – intermediate).
  • Excellent communication skills (verbal and written).

Personal Attributes

  • Attention to detail.
  • High level of professionalism and confidentiality.
  • Self-managed.
  • Able to thrive in a high-pressure, fast-paced environment
  • An unquestionable work ethic.
  • Excellent judgment, interpersonal and decision-making skills.

Carrick Athena – Business Development Specialist

Carrick Athena
Business Development Specialist

Location: Cape Town, South Africa

Department: Carrick Athena

Start Date: 01 March 2024

Applications Closing Date: 14 February 2024

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Core Functions

  • This role’s main function will be lead generation, setting up appointments as well as general office involvement, attending to diary management, and other administrative duties.

Details of Functions

  • Prospects potential clients for the services offered by our institution.
  • Work with relevant managers to support their business model.
  • Contact prospective clients to ascertain the relevance of the services offered.
  • Maintain the highest levels of administration, completing client documents in the parameters of the compliance department.
  • Learn and develop an understanding of the business and services.
  • Meet outlined targets set by the consultant and team leaders.
  • Contact clients when requested and communicate any changes or concerns to their consultant.
  • Attend all meetings held by Managers and Service Providers.
  • Actively follow up on business pipeline through to issued business.
  • Drafting and sending correspondence to clients and external providers.
  • Resolving ad hoc client queries and internal administration requests, as these arise.
  • Liaising with Private Wealth Managers to ensure the accuracy of documentation and tracking of leads (execution and issued).

Qualifications, Experience and Skills

  • Essential Qualification: Senior Certificate/Matric, post Matric advantageous.
  • Total Number of Years’ Experience: 3 – 5 years working experience.
  • Type of Experience:
  • Prior work experience in phone calling leads.
  • Preferred qualifications include RE1, RE5, or any other qualifications associated with wealth management.
  • Computer literacy (MS Word, Excel, Outlook –intermediate).
  • Financial industry background preferable.

Personal Attributes

  • Excellent Communication Skills (Verbal and written)
  • Good Interpersonal Skills
  • High level of professionalism and confidentiality
  • Self – Motivated and tenacious
  • Able to thrive in a high-pressure, fast-paced environment
  • Excellent administrative skills
  • Telephone Skills

Compliance Manager

Compliance Manager

Location: Cape Town, South Africa

Department: Compliance

Start Date: 01 April 2024

Closing date: 09 February 2024

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Core Functions

  • To oversee the group compliance requirements, implementation, and monitoring.

Details of Functions

  • Assuring compliance with the FSCA (Financial Service Conduct Authority) is always adhered to through close collaboration with stakeholders, key individuals, and external compliance officers.
  • Identify and brief key individuals and EXCO on all forthcoming regulation changes and impacts on the business.
  • Liaison with external compliance consultants.
  • Preparation of board packs and compliance reports every quarter.
  • Due diligence and review of third-party contracts including terms of business with various providers.
  • Ongoing compliance monitoring and onboarding checks of all advisory staff, fit and proper competency checks according to FSCA regulations.
  • Audit support – Provision of compliance requirements for internal and external audits.
  • Oversight of the compliance team responsible for all onboarding and compliance checks of all cases within Carrick, and review of case escalations.
  • Establish a culture of compliance by training all staff accordingly.
  • Complaints management.
  • Implementation and oversight of all aspects of anti-money laundering (AML) systems, including monitoring effectiveness and enhancing the controls and procedures where necessary.
  • Leading and executing a risk-based AML compliance program to ensure ongoing compliance with regulatory requirements.
  • Regular risk assessments and updates to Risk Management and Compliance Policy: such as identifying potential compliance risk and advising management to implement proper compliance programs to address any potential regulatory problems.
  • Review, update, and implement all policies and procedures to ensure accuracy and compliance with regulatory changes such as the Treating Clients Fairly, Risk Management Policy.
  • Monitor industry trends and developments and plan for potential changes.
  • Support company secretary on agreements and license applications/renewals where required.

Qualifications, Experience and Skills

  • Essential Qualification: Senior Certificate, Compliance Officer (recognised qualification).
  • Total Number of Years’ Experience: 5+ years’ experience in a compliance role.
  • Preferred qualifications include RE1, RE5, or any other qualifications associated with wealth management.
  • Computer literacy (MS Word, Excel, Outlook – intermediate).
  • Excellent communication skills (verbal and written).
  • Compliance role in financial services.
  • Must be a registered Compliance Officer with the FSCA.
  • Management experience of a compliance department with a clear understanding of both local and offshore compliance requirements for South African investors.

Personal Attributes

  • Good understanding of the South African and offshore compliance framework / risk management.
  • Legal business contract drafting / amendment.
  • Building strong stakeholder relationships.
  • Strong ability to prioritise multiple projects and deadlines.
  • Attention to detail.
  • Excellent communication skills across a range of levels in the business.
  • Good understanding of MS Office Suite.

Client Relationship Manager

Client Relationship Manager

Location: Cape Town, South Africa

Department: Operations

Start Date: As soon as possible

Closing date: Friday, 12 April 2024

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Core Functions

  • To Provide full support to a Carrick sales team, operating as a member of the POD, to assist with the full client onboarding and case management process  

Details of Functions

  • Full responsibility for the case preparation, to sign off internally and submission to Providers 
  • Actively follow up on business pipeline through to issued business 
  • Responsible for managing, reporting, and correcting errors on paperwork applications; identifying and communicating ways to continually reduce risk in the business 
  • Full support of a Carrick sales team, operating as a member of the POD, to assist with the full client onboarding and case management process 
  • Proactively following up on internal case compliance requirements to facilitate and speed up case sign off 
  • Drafting and sending correspondence to clients and external Providers 
  • Resolving ad hoc client queries and internal administration requests, as these arise 
  • Liaising with Private Wealth Managers and trust companies to ensure the accuracy of documentation and tracking of dealing instructions (execution and issued 
  • Liaising with bond companies to ensure that all requirements are processed as per due dates 
  • Update an internal CRM System and always (actions done and forecasting changes) 
  • Ensure that all issued business is recorded timeously and assist accounts on Ad hoc inquiries 
  • Providing clients with Concierge login Details, Maintaining the client files, and updating the CRM system with any changes to the client’s information. 

Qualifications, Experience and Skills

  • Essential Qualification: Senior Certificate/Matric, post Matric advantageous 
  • 3 – 5 years working experience 
  • Prior work experience in client servicing or clear evidence of strong administration skills and handling multiple workflows  
  • Preferred qualifications include RE1, RE5, or any other qualifications associated with wealth management  
  • Computer literacy (MS Word, Excel, Outlook – intermediate)  
  • Excellent communication skills (verbal and written)  
  • Excellent judgement, interpersonal, and decision-making skills 

Personal Attributes

  • Solutions oriented
  • High level of professionalism and confidentiality
  • Self-managed
  • Able to thrive in a high pressure, fast paced environment
  • An unquestionable work ethic
  • Excellent judgement, interpersonal and decision-making skills

Front of House Coordinator

Front of House Coordinator

Location: Cape Town, South Africa

Department: Client Services

Start Date: As soon as possible

Closing date: 15 January 2024

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Core Functions

  • To effectively manage the day-to-day functions of the reception area in the Cape Town office.

Details of Functions

  • Ensure a welcoming environment by greeting all guests, addressing inquiries, and providing relevant information.  
  • Answering all incoming phone calls in a welcoming tone 
  • Handle booking of the boardroom and coordinate with service staff to ensure that guests are provided with hospitality. 
  • Act as a liaison between the front-of-house and back-of-house teams, facilitating smooth communication and ensuring and ensuring seamless coordination of service. 
  • Assist in coordinating special events and other functions.  
  • Respond to guest feedback and concerns, aiming to resolve issues promptly and provide exceptional customer service to enhance the overall guest experience. 
  • Work closely with the service team to ensure well-versed customer service standards and operational procedures. 
  • Monitor the quality of cleanliness and presentation of the front of house. 
  • Keep track of inventory-related items at the front of house 
  • Foster a collaborative and positive working environment by promoting teamwork and effective communication among the front-of-house staff. 
  • Attend to all administrative queries such as courier management, and updating an internal telephone list. 
  • Attend to ad-hoc duties. 

Qualifications, Experience and Skills

  • 3 – 5 years working experience 
  • Client Facing experience such as Receptionist/Front of House (preferably in financial services industry background)
  • Excellent communication skills
  • Excellent organisational skills
  • Punctual/time management skills
  • Computer skills
  • Telephone etiquette
  • Assertive and good listening skills 

Personal Attributes

  • Solutions oriented
  • High level of professionalism and confidentiality
  • Self-managed
  • Able to thrive in a high pressure, fast paced environment
  • An unquestionable work ethic
  • Excellent judgement, interpersonal and decision-making skills