File Review Officer

3 weeks ago

London, United Kingdom Raymond James Investment Services Full time
Job Description

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.

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