Investment File Reviewer
2 weeks ago
Join us as an Investment File Reviewer
- Working in the Quality Assurance Team, you'll support the effective monitoring and reporting of quality assurance risks while inputting into the assurance of relevant related activities
- Day-to-day, you'll test the suitability of advice given by colleagues to clients concerning investment products and services
- This is an opportunity to bring a competitive edge to your profile as you act as an expert of the Suitable Advice Guidelines and Quality Assurance and Competence Framework
**What you'll do**
Your daily responsibilities will include you supporting the management of upstream regulatory or legislative developments to help with the assessment and communication of our business' impact. You'll also monitor adherence to all relevant operational and servicelevel agreements.
We'll look to you to help your team to define and monitor key MI requirements and key risk indicators necessary to confirm control framework adequacy and operations within defined risk appetite tolerances.
You'll also be responsible for:
- Undertaking file checks of frontline advice to make sure qualitative standards across investment, protection, pension and retirement provide feedback on file quality
- Setting appropriate remedial activity when necessary and developing your own competencies to broaden areas of expertise and abilities
- Working at pace to undertake checks of multiple file types, including core files, auto advice, investment backed lending and portfolio suitability reviews
- Engaging with frontline business' and work to improve overall qualitative file outcomes and customer journeys to support stakeholder queries and enhance customer outcomes
- Helping the team to review and improve our banking processes and policies to make sure compliance is achieved in a cost-effective manner while minimising impact on customers
**The skills you'll need**
We'll expect you to hold at least a QCF Level 4 qualification, such as a CISI diploma, a PCIAM, an Investment Advice diploma or a CII diploma in financial planning or the equivalent.
You'll also need:
- Experience of working as part of a team
- The ability to meet demanding deadlines and to work at pace
- An understanding of how to analyse and evaluate information before articulating it to frontline colleagues
-
File Review Officer
Found in: Jooble UK C2 - 3 weeks ago
London, United Kingdom Raymond James Investment Services Full timeWho 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 timeWho 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 timeWho 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: Appcast UK C C2 - 2 weeks ago
London Area, United Kingdom Raymond James Investment Services Full timeWho 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: Appcast UK C2 - 2 weeks ago
London Area, United Kingdom Raymond James Investment Services Full timeWho 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: Whatjobs ES C2 - 2 days ago
London Area, United Kingdom Raymond James Investment Services Full timeWho 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: Appcast Linkedin GBL C2 - 2 weeks ago
London Area, United Kingdom Raymond James Investment Services Full timeWho 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 Reviewer
1 week ago
City of London, United Kingdom Davies Resourcing Full timeOur big 4 consultancy client is conducting a review of historical total loss motor insurance claims to ensure customers received a fair claim payment. Davies Resourcing are looking to hire File Reviewers to assist our client with the delivery of the remediationexercise including completion of case assessments for impacted customers. **What can we offer...
-
Client File Reviewer
6 days ago
London, United Kingdom eFinancialCareers Full timeJob Summary - London - Temporary - JN -012023-1922846 - Jan 26, 2023 - £30k - £35k **Job Description**: A leading wealth manager is recruiting within their AML/CDD team for an individual to work on Client File Review to ensure the business has an understanding of each client and the AML risk which they A leading wealth manager is recruiting within their...
-
Senior Litigation Lawyer
Found in: Talent UK 2A C2 - 1 week ago
London, United Kingdom Jameson Legal. Full timeOur 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
2 weeks ago
London, United Kingdom Jameson Legal Full timeOur 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 timeOur 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...
-
Associate, Direct Investment Group
2 days ago
London, United Kingdom GIC Investment Full timeLocation: London, GB- Job Function: Private Equity- Job Type: Contract- Req ID: 15083**Associate Role within GIC’s European Private Equity Direct Investments Group** GIC is one of the world’s largest sovereign wealth funds. With over 2,000 employees across 11 locations around the world, we invest in more than 40 countries globally across asset classes...
-
Senior Litigation Lawyer
Found in: Adzuna UK C2 - 3 days ago
England, London, City of London, London (Greater), Central London, United Kingdom Jameson Legal. Full timeOur 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...
-
Operations Investment Executive
7 days ago
London, United Kingdom Legal & General Investment Management Full timeReference - VN-24705Role Type - Fixed Term Contract (inc Secondee)Location - LondonSalary - Competitive salary, bonus and benefitsClosing Date - 3 February 2023Your role at a glance - Working in a busy Institutional Transfer Agency team covering LGIM’s range of pooled Investment Vehicles. We are looking for an Operations Investment Executive to provide a...
-
London, United Kingdom GIC Investment Full timeLocation: London, GB- Job Function: Private Equity- Job Type: Contract- Req ID: 15688**Associate, Direct Investments Group, Private Equity** GIC is one of the world’s largest sovereign wealth funds. With over 2,000 employees across 11 locations around the world, we invest in more than 40 countries globally across asset classes and businesses. Working at...
-
Avp, Investment Finance, Private Markets
1 week ago
London, United Kingdom GIC Investment Full timeLocation: London, GB- Job Function: Investment Services Private Markets- Job Type: Permanent- Req ID: 15415GIC is one of the world’s largest sovereign wealth funds. With over 2,000 employees across 11 locations around the world, we invest in more than 40 countries globally across asset classes and businesses. Working at GIC gives you exposure to an...
-
Investment Compliance Business Partner
3 days ago
London, United Kingdom MFS Investment Management Full timeAt MFS, you will find a culture that supports you in doing what you do best. Our employees work together to reach better outcomes, favoring the strongest idea over the strongest individual. We put people first and demonstrate care and compassion for our community and each other. Because what we do matters - to us as valued professionals and to the millions...
-
Investment Specialist
3 days ago
London, United Kingdom Legal & General Investment Management Full timeYour role at a glance The role is aimed at providing comprehensive support to the LGIM DC (Defined Contribution) Investments team and wider DC Distribution team, driving forward processes and innovation within DC Investments. This is a 12-month fixed-term contract (maternity cover) and the position will focus on helping DC Investments team establish more...
-
London, United Kingdom eFinancialCareers Full timeInvestment Accountant - Investments Firm Completion of set up all investment accounting reconciliations - Derivatives - Quarterly FM-Custodian-Accounting 3 way reconciliations for all funds - Monthly Stale price review - Monthly Pricing review - Quarterly valuation reviews for pooled funds - Establishing a system of reviewing Fund Manager reconciliations...
