Investment Financial Adviser

Role overview

Globex Financial Services is seeking an experienced Investment Financial Adviser with an established client portfolio and approximately R50 million in transferable Assets Under Management.

The position is based at Globex House in Kenilworth, Cape Town, and suits an adviser who wants to continue building a successful financial-planning career within a structured and professionally supported environment. The successful candidate will manage and grow an existing portfolio of client relationships while providing holistic advice across investments, retirement planning, risk planning and estate-planning needs.

This opportunity is not intended for an entry-level adviser. Globex is looking for an established professional who has already developed meaningful client relationships, recurring revenue and a strong track record of compliant, client-focused advice.

Key responsibilities

• Provide professional investment advice to individuals, families, professionals and business owners.
• Conduct detailed financial-needs analyses, assessing objectives, risk tolerance, time horizons and liquidity requirements.
• Recommend suitable local and offshore investment solutions, including discretionary investments and unit trusts.
• Advise on retirement annuities, preservation funds, pension and provident benefits, and living annuities.
• Analyse existing retirement provision, identify shortfalls and provide guidance on income sustainability and preservation strategies.
• Support a structured, confidential client-transition process, maintaining service continuity and ensuring transferred clients are properly onboarded and documented.
• Continue growing AUM and recurring revenue through referrals, networking and relationships with accountants, attorneys and tax practitioners.
• Conduct annual and periodic financial reviews and provide proactive communication during market movements.
• Provide advice across investments, retirement, risk and estate planning, working with specialists on complex estate, tax or trust matters.
• Operate in accordance with FAIS, FICA, POPIA and TCF principles, maintaining fit-and-proper status and audit-ready files.

Minimum requirements

• Minimum of five years’ relevant experience as a Financial Adviser, Investment Adviser, Wealth Adviser or Financial Planner.
• Approximately R50 million in transferable AUM.
• Proven recurring revenue and client-retention history.
• Strong investment and retirement-planning experience.
• RE5 completed and a relevant recognised financial-services qualification.
• Appropriate Class of Business training, current FAIS fit-and-proper status and an up-to-date CPD record.
• Good regulatory and compliance standing.
• Based in Cape Town or willing to work from the Kenilworth office.
• Valid driver’s licence and reliable transport.

Preferred qualifications

• CFP® designation, or progress toward a recognised advanced financial-planning qualification.
• Existing AUM above R50 million and strong recurring investment revenue.
• Experience advising high-net-worth individuals, professionals and business owners.
• Offshore investment experience, and living-annuity and retirement-income planning experience.
• Existing professional and referral network in Cape Town.
• Experience within Liberty, an independent financial-planning practice, a bank or a wealth-management environment.
• Experience transitioning an adviser book, with strong estate and tax-planning awareness.

Skills and competencies

• Investment and retirement-planning expertise.
• AUM retention and growth, and new-business development.
• Client relationship management and referral-network development.
• Ethical advice delivery and regulatory discipline.
• Commercial judgement, negotiation and closing ability.
• Confidentiality and discretion.

Personal attributes

An experienced adviser with a loyal client base and meaningful recurring revenue, motivated to continue building and growing a portfolio rather than simply selling or exiting a book, and who values professional infrastructure, compliance support and recognised systems.

Candidate information required

Shortlisted candidates should be prepared to provide a confidential summary of total and transferable AUM, active client numbers, annual recurring revenue, revenue composition, client segmentation, average client size, provider and platform concentration, geographic spread, current support structure, existing contractual restrictions, notice period and expected transition timeframe. All information is handled confidentially.