Pensions officer.

4 weeks ago


London, United Kingdom Raymond James Investment Services Full time

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.


We are looking for a File Review Officer who possess meticulous attention to detail and an understanding of regulatory frameworks. 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, maintain and update policies and procedures for reviewing and monitoring file reviews.
Complete ad-hoc projects/reports as and when required.


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
Good knowledge of the retail Financial Services Industry
Good knowledge of the Regulatory Financial environment (FCA rules, particularly COBS)
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


When associates bring their best authentic self to work, our organisation, clients, and communities thrive.


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