File Review Officer

Found in: Appcast Linkedin GBL C2 - 3 weeks ago

London Area, United Kingdom Raymond James Investment Services Full time

Who we are?

Raymond James is a wealth management firm focused on providing trusted advice and tailored, personalised investment services. We believe if we do what’s right for clients, we’ll help them achieve success while also realising our own. Our parent company, Raymond James Financial, has been doing the same in the US for over six decades.


Who we are looking for?

We are looking for a File Review Officer who possess meticulous attention to detail and an understanding of regulatory frameworks. The ideal candidate will demonstrate strong analytical skills and the ability to ensure document accuracy and compliance with organisational standards


Responsibilities

  • The primary responsibility is to conduct client file reviews for Financial Planning and Discretionary Management for both new and existing business according to agreed plan.
  • Utilise information from Supervision and Compliance monitoring in relation to portfolio management, trading and AML to assist in reviews
  • Document review findings appropriately for feedback to Branch Principals and inclusion in audit reports.
  • Create and maintain appropriate management information for distribution to management and committees.
  • Create, maintain and update policies and procedures for reviewing and monitoring file reviews.
  • Assist in providing written and verbal guidance to Raymond James Wealth Managers on all aspects of file reviews and the output of such.
  • Provide assistance to the Branch Auditor to carry out branch visits as required.
  • Deal with queries from Wealth Managers, Supervision and Compliance related to file reviews and escalate where these are complex or controversial.
  • Provide general support and input to the wider Compliance function where appropriate and/or requested to do so.
  • Complete ad-hoc projects/reports as and when required.



Requirements

  • Relevant financial services experience focused on financial planning and DFM, the writing or review of financial planning cases or administration of client portfolios would be an advantage
  • Financial planning or DFM qualification essential and must be willing to undertake appropriate development
  • Strong Microsoft Office skills
  • Excellent written and verbal communication skills
  • Good time management skills
  • Good knowledge of the retail Financial Services Industry
  • Good knowledge of the Regulatory Financial environment (FCA rules, particularly COBS)
  • Knowledge of Anti-Money Laundering law and regulation


Benefits

  • 25-days of annual leave + bank holidays + holiday increases each year, to a max of 30
  • Established hybrid working policy and openness to flexible working
  • Generous pension contributions
  • Private medical healthcare
  • Discounted Gym Membership
  • Life, Dental & Travel insurance


Raymond James is an equal opportunities employer and welcomes applications from a diverse background

At Raymond James we honour, value and respect the uniqueness, experiences, and backgrounds of all our Associates. When associates bring their best authentic self to work, our organisation, clients, and communities thrive. This is a key part of our people-first culture. The Company is an equal opportunities employer and makes all employment decisions on the basis of merit and business needs.

  • File Review Officer

    Found in: Whatjobs ES C2 - 5 days ago

    London Area, United Kingdom Raymond James Investment Services Full time

    Who we are? Raymond James is a wealth management firm focused on providing trusted advice and tailored, personalised investment services. We believe if we do what’s right for clients, we’ll help them achieve success while also realising our own. Our parent company, Raymond James Financial, has been doing the same in the US for over six decades. Who...

  • File Review Officer

    Found in: Jooble UK C2 - 3 weeks ago

    London, United Kingdom Raymond James Investment Services Full time

    Who we are? Raymond James is a wealth management firm focused on providing trusted advice and tailored, personalised investment services. We believe if we do what’s right for clients, we’ll help them achieve success while also realising our own. Our parent company, Raymond James Financial, has been doing the same in the US for over six decades. Who we...

  • File Review Officer

    3 weeks ago

    London, United Kingdom Raymond James Investment Services Full time

    Who we are? Raymond James is a wealth management firm focused on providing trusted advice and tailored, personalised investment services. We believe if we do what’s right for clients, we’ll help them achieve success while also realising our own. Our parent company, Raymond James Financial, has been doing the same in the US for over six decades. Who we...

  • File Review Officer

    Found in: Talent UK 2A C2 - 3 weeks ago

    London, United Kingdom Raymond James Investment Services Full time

    Who we are? Raymond James is a wealth management firm focused on providing trusted advice and tailored, personalised investment services. We believe if we do what’s right for clients, we’ll help them achieve success while also realising our own. Our parent company, Raymond James Financial, has been doing the same in the US for over six decades. Who we...

  • Senior Litigation Lawyer

    Found in: Talent UK 2A C2 - 2 weeks ago

    London, United Kingdom Jameson Legal. Full time

    Our client is a Top 100 firm in London that is looking to engage with an experienced litigation Lawyer who can assist them on a flexible basis, undertaking general file reviews. The opportunity is to start ASAP and will be on an ongoing, non-exclusive, basis. This project can run alongside other opportunities.Ideal Lawyers will likely possess upwards of 8...

  • Senior Litigation Lawyer

    3 weeks ago

    London, United Kingdom Jameson Legal Full time

    Our client is a Top 100 firm in London that is looking to engage with an experienced litigation Lawyer who can assist them on a flexible basis, undertaking general file reviews. The opportunity is to start ASAP and will be on an ongoing, non-exclusive, basis. This project can run alongside other opportunities. Ideal Lawyers will likely possess upwards of 8...

  • Senior Litigation Lawyer

    Found in: beBee S GB - 3 weeks ago

    London (Central), United Kingdom Jameson Legal. Full time

    Our client is a Top 100 firm in London that is looking to engage with an experienced litigation Lawyer who can assist them on a flexible basis, undertaking general file reviews. The opportunity is to start ASAP and will be on an ongoing, non-exclusive, basis. This project can run alongside other opportunities.Ideal Lawyers will likely possess upwards of 8...

  • Senior Litigation Lawyer

    Found in: Adzuna UK C2 - 6 days ago

    England, London, City of London, London (Greater), Central London, United Kingdom Jameson Legal. Full time

    Our client is a Top 100 firm in London that is looking to engage with an experienced litigation Lawyer who can assist them on a flexible basis, undertaking general file reviews. The opportunity is to start ASAP and will be on an ongoing, non-exclusive, basis. This project can run alongside other opportunities.Ideal Lawyers will likely possess upwards of 8...

  • Senior Litigation Lawyer

    3 weeks ago

    London, United Kingdom Jameson Legal Full time

    Our client is a Top 100 firm in London that is looking to engage with an experienced litigation Lawyer who can assist them on a flexible basis, undertaking general file reviews. The opportunity is to start ASAP and will be on an ongoing, non-exclusive, basis. This project can run alongside other opportunities. Ideal Lawyers will likely possess upwards of 8...

  • Assessment and Review Officer

    4 days ago

    London, United Kingdom Novax Recruitment Full time

    **Assessment and Review Officer** **Waltham Forest** **Contract** **£249 (Umbrella) Per Day** We are currently looking for a Assessment and Review Officer for a role in Waltham Forest. The postholder will deliver services that enable stakeholder, service users and families/carers to engage with and make informed use of the service(s). To manage andprogress...

  • Coordination & Review Officer

    6 days ago

    London, United Kingdom iWork Recruitment Limited Full time

    Contract to start ASAP until 31-07-23 with a possible extension. **Main purpose** Responsible for assessing each request on merit by analysing the request alongside the contents of relevant case file and make recommendations to relevant service areas. To provide an efficient and responsive casework review service, ensuring that all reviews and county...

  • Housing Reviews Officer

    Found in: Talent UK 2A C2 - 1 week ago

    London, United Kingdom Park Avenue Recruitment Full time

    Are you an experienced Housing Reviews Officer?Want to get London Experience on your CV?A Local Authority in London are looking for a Housing Reviews Officer to join their team.You will be joining the team for at least 3 months, with a high likelihood of extension.This Authority understands that most s202 decision letters can be carried out from the comfort...

  • Housing Reviews Officer

    3 weeks ago

    London, United Kingdom Park Avenue Recruitment Full time

    Are you an experienced Housing Reviews Officer? Want to get London Experience on your CV? A Local Authority in London are looking for a Housing Reviews Officer to join their team. You will be joining the team for at least 3 months, with a high likelihood of extension. This Authority understands that most s202 decision letters can be carried out from the...

  • Housing Reviews Officer

    Found in: Whatjobs ES C2 - 1 week ago

    London, United Kingdom Park Avenue Recruitment Full time

    Are you an experienced Housing Reviews Officer?Want to get London Experience on your CV?A Local Authority in London are looking for a Housing Reviews Officer to join their team.You will be joining the team for at least 3 months, with a high likelihood of extension.This Authority understands that most s202 decision letters can be carried out from the comfort...

  • Housing Reviews Officer

    3 days ago

    London, United Kingdom Park Avenue Recruitment Full time

    Are you an experienced Housing Reviews Officer? Want to get London Experience on your CV? A Local Authority in London are looking for a Housing Reviews Officer to join their team. You will be joining the team for at least 3 months, with a high likelihood of extension. This Authority understands that most s202 decision letters can be carried out from the...

  • Assessment and Review Officer

    6 days ago

    London, United Kingdom chase recruitment group ltd Full time

    I am looking for an experienced SEN Case Officer who can write new EHCP's from advices and understands statutory deadlines, can attend (in person) annual review meetings and amend plans as necessary. Hybrid working, 2 days at home other in allocated schoolsor the office. Experience of using Mosaic to write plans will be an advantage. This is initially a 6...

  • Independent Reviewing Officer

    2 weeks ago

    London, United Kingdom HCRG Staffing Full time

    Role To assure the quality of work with Looked After Children in Lewisham Children’s Social Care, and to ensure performance is maintained To chair statutory reviews of Children Looked After in accordance with legislation, and to ensure plans for children progress appropriately To contribute to the development of practice in relation to Looked after...

  • Independent Reviewing Officer

    Found in: Whatjobs ES C2 - 1 week ago

    London, United Kingdom HCRG Staffing Full time

    RoleTo assure the quality of work with Looked After Children in Lewisham Children’s Social Care, and to ensure performance is maintainedTo chair statutory reviews of Children Looked After in accordance with legislation, and to ensure plans for children progress appropriatelyTo contribute to the development of practice in relation to Looked after Children...

  • Independent Reviewing Officer

    3 days ago

    London, United Kingdom Printing devil Full time

    The requirement is for an IRO (preferably dual role to chair child protection conferences and reviews for looked after children) This is requirement and although there are opportunities to work from home to prepare for meetings, the expectation is that conferences are conducted in the office face to face., This a dual role, requiring the independent...

  • Independent Reviewing Officer

    6 days ago

    London, United Kingdom HCRG Staffing Full time

    Role To assure the quality of work with Looked After Children in Lewisham Children's Social Care, and to ensure performance is maintained To chair statutory reviews of Children Looked After in accordance with legislation, and to ensure plans for children progress appropriately To contribute to the development of practice in relation to Looked after...