What a Financial Planning Hire Can Do For Your Business

Email & inbox management

Organising, responding to, and actioning client and provider emails. Sorting to folders for compliance tracking.

Calendar & appointment setting

Managing the adviser's calendar. Scheduling client reviews, booking provider meetings, sending reminders.

CRM management

Maintaining accurate client records in platforms like Xplan or AdviserLogic. Logging all interactions and generating reports.

File & document management

Organising digital files across Google Drive, OneDrive, or SharePoint using correct structure and naming conventions.

Data entry

Inputting client and policy data accurately across systems and software in a timely manner.

Meeting minutes

Recording and distributing clear meeting notes with action items after client or internal meetings.

Process documentation

Writing and maintaining SOPs, process guides, and training materials as workflows evolve.

Compliance preparation

Preparing Fact Find, Financial Services Guide, and Best Interest Checklist. Ensuring documentation meets ASIC and dealer group requirements.

Data collection from providers

Gathering existing policy details via adviser portal, provider calls, and correspondence. Obtaining third-party authorities where required.

Pre-assessments

Submitting pre-assessment requests with medical, occupational, and risk information to product providers.

Quote generation

Preparing quotes from comparison tools and provider websites. Reflecting accurate product knowledge in quote quality.

Market comparison reports

Comparing existing covers against recommended replacements. Identifying benefit gains/losses and most competitive products.

Statement of Advice (SoA) preparation

Pre-populating and completing SoAs with client info, risk profile, recommendations, fees, and commissions.

Application lodgement

Completing and submitting applications via the adviser's preferred channel. Following up outstanding requirements until policy is in force.

Policy alterations

Preparing and actioning changes to existing policies including sum insured, ownership, premium structure, and waiting/benefit periods.

Premium dishonour tracking

Monitoring payment dishonours. Sending client reminders. Following up until the issue is resolved or policy lapses.

Commission tracking

Monitoring and recording commissions received from product providers as instructed by the adviser.

Compliance preparation

Preparing Fact Find, FSG, risk profile documentation, and super fee comparisons per ASIC and dealer group requirements.

Fund applications

Completing super applications online or via paper form. Following up outstanding documents until account is fully established.

Data collection

Gathering super fund details via adviser portal, provider calls, and email. Obtaining third-party authorities where required.

Investment switches & purchases

Processing investment switches and purchases accurately. Following up with the provider until settlement is confirmed.

Rollovers (partial & full)

Completing partial or full rollovers between funds. Determining whether ATO form or provider rollover form is required.

Fee Disclosure Statements & Opt-Ins

Generating FDS and Opt-In notices. Monitoring deadlines. Following up non-responses in accordance with ASIC requirements.

Product comparison reports

Preparing super product comparisons across providers including fees, investment options, performance, and risk ratings.

Invoicing

Preparing and sending client invoices via Xero or manually as instructed by the adviser.

Client portfolio research

Researching investment products, superannuation funds, and insurance policies to support advice preparation.

Portfolio analysis

Reviewing client portfolios. Identifying variances, risks, and opportunities. Preparing summaries for adviser review.

SoA & RoA drafting

Drafting Statements of Advice and Records of Advice based on adviser instructions and file notes.

Compliance document preparation

Preparing compliance reports, checklists, and documentation to meet regulatory and dealer group standards.

Financial modelling support

Assisting with cash flow projections, retirement modelling, and scenario analysis using Xplan or AdviserLogic.

Xplan / AdviserLogic management

Maintaining client data, templates, and workflows in financial planning software. Keeping records current and audit-ready.