Jobs
>
London

    File Review Officer - London, United Kingdom - Raymond James Investment Services

    Raymond James Investment Services
    Raymond James Investment Services London, United Kingdom

    1 day ago

    Default job background
    Accounting / Finance
    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.

  • PRO-TAX CONSULTANCY LIMITED

    Review Officer

    4 days ago

    PRO-TAX CONSULTANCY LIMITED London, United Kingdom

    **MAIN PURPOSE OF THE JOB** · At the direction of the Team Manager Legal, to act as the council's representative in any subsequent court challenge to review decisions or in any litigation around the conduct of the review, including that which involves any decision not to conduct ...

  • Colbern Limited

    Review Officer

    3 days ago

    Colbern Limited London, United Kingdom

    NCD · Review Officer - Housing Options · Tower Hamlets · Contract · £20.90 per hour PAYE or £27.10 per hour Limited paid via Umbrella Company Inside IR35 · Our client is looking for an experienced Review Officer - Housing Options. · At the direction of the Statutory and Advocacy ...

  • RCB REFURBISHMENTS 2021 LTD

    Review Officer

    4 days ago

    RCB REFURBISHMENTS 2021 LTD London, United Kingdom

    Experience of carrying out robust enquiries and sound decision making is essential. · **Purpose of the Role**: · To carry out the statutory function of reviewing all homeless decisions, offers of accommodation, housing register assessments, where a review is requested. · To ensur ...

  • iWork Recruitment Limited

    Review Officer

    1 day ago

    iWork Recruitment Limited London, United Kingdom

    Contract to start on until with a possible extension. · **Job Purpose** · To ensure customers receive, either directly or through referral to relevant teams/agencies, appropriate advice on their options. · To ensure that all enquiries and cases are progressed speedily and efficie ...

  • iWork Recruitment Limited

    Review Officer

    3 days ago

    iWork Recruitment Limited London, United Kingdom

    Contract to start until with a possible extension. · **MAIN PURPOSE OF THE JOB** · At the direction of the Team Manager Legal, to act as the client's representative in any subsequent court challenge to review decisions or in any litigation around the conduct of the review, includ ...

  • Cleantech People

    Review Officer

    2 days ago

    Cleantech People Tower Hamlets, United Kingdom

    **What's involved with this role**: · **Job Ref: Tower Hamlets RQ1239488** · **_An DBS disclosure is listed as a requirement for this role_** · The team need a Review Officer (Housing Options) to work within the statutory homelessness service. · **Key Responsibilities**: · - To d ...

  • chase recruitment group ltd

    Assessment and Review Officer

    4 days ago

    chase recruitment group ltd London, United Kingdom

    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. · Experi ...

  • Achieving for Children

    Independent Reviewing Officer

    5 days ago

    Achieving for Children London, United Kingdom

    Job Information · Achieving for Children is a Community Interest Company that has a public sector ethos, combined with the freedom to innovate enabling us to do things differently. As a not-for-profit social enterprise owned by three local authorities (Windsor & Maidenhead, Kings ...

  • Eden Brown

    Independent Reviewing Officer

    1 day ago

    Eden Brown London, United Kingdom

    A role of **Independent Reviewing Officer **has come up** **for a 3 months ongoing assignment. · Pay - **£45.78/hr Umbrella** · Address -** Civic Centre Silver Street, London EN1 3XA** · **JD below** · **Responsibilities**: · - The requirement is for an IRO (preferably dual role ...

  • KDS Driving ltd

    Independent Reviewing Officer

    5 days ago

    KDS Driving ltd London, United Kingdom

    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 ...

  • London Borough of Hillingdon

    Independent Reviewing Officer

    3 days ago

    London Borough of Hillingdon London, United Kingdom

    Job number · **SC00759** · Location · **Civic Centre, High Street Uxbridge, Middlesex, London, UB8 1UW** · Directorate · **Social Care** · Job Type · **Childrens Social Care** · Contract Type · **Permanent** · Working Hours · **28** · Closing date · **17 December 2023** · Salary ...

  • iWork Recruitment Limited

    Coordination & Review Officer

    4 days ago

    iWork Recruitment Limited London, United Kingdom

    Contract to start on until with a possible extension. · To facilitate and coordinate the delivery of the Lambeth Reviews function for all requests for Review and Suitability under parts VI and VII of the Housing Act 1996 as amended · **Salary**: £21.71 per hour · Work Location: I ...

  • Charles Hunter

    Independent Reviewing Officer

    2 days ago

    Charles Hunter Lambeth, United Kingdom

    A Local Authority in South London is looking for an Independent Reviewing Officer to join their Quality Assurance Team. This is a Locum Social Work role. · *** · **Benefits for you as an **Independent Reviewing Officer**: · - Excellent pay rate of £42.00 per hour · - Hybrid worki ...

  • lynx recruit

    Review Officer

    4 days ago

    lynx recruit Enfield, United Kingdom

    Experience of carrying out robust enquiries and sound decision making is essential. · **Purpose of the Role**: · To carry out the statutory function of reviewing all homeless decisions, offers of accommodation, housing register assessments, where a review is requested. · To ensur ...

  • Cleantech People

    Assessment & Review Officers X2 - Send

    2 days ago

    Cleantech People London, United Kingdom

    **What's involved with this role**: · **Job Ref: Walthamstow RQ1224054** · **_Enhanced DBS disclosure is listed as a requirement for this role · - ** · The team requires two Assessment & Review Officers to join a Specialist Childrens Service Team (SEND). · The Team is looking for ...

  • Ministry of Justice

    Crown Court Records Review Officer

    4 days ago

    Ministry of Justice London, United Kingdom

    Salary 1 · - £27,000 · Number of jobs available 1 · - 1 · Detail of reserve list 1 · - 12 Months · Region 1 · - London · City/Town 1 · - London · Building/Site 1 · - 102 PETTY FRANCE (MOJ) LONDON, SW1H 9AJ · Grade 1 · - AO · Organisation Grade for MoJ 1 · - AO · Post Type 1 · - P ...

  • London Borough of Redbridge

    Review Officer

    23 hours ago

    London Borough of Redbridge Ilford, United Kingdom

    **Redbridge is an ambitious, diverse and exciting east-London borough. What we do is driven by changing our relationship with local people to support our vision. As a result, we've developed innovative ways to build our communities and transform our Council.** · **We're one of th ...

  • Service Care

    Placement Review Officer

    2 days ago

    Service Care Ealing, United Kingdom

    Placement Review Officer needed with London Borough of Ealing · **Start** **Date**: · - ASAP · **Location** - Ealing (Hybrid) · **Duration** - initially 3 months · **Hours** **per** **week** - 35 hours per week · **Salary** - £ £24 ltd an hour · **Description**: · - To work withi ...

  • CRA GROUP LIMITED

    Reviews Officer

    2 days ago

    CRA GROUP LIMITED London, United Kingdom

    The objective of this role is to process and determine the statutory request for reviews under Part VI and VII of the Housing Act 1996. You will ensure that decisions are made in accordance with legislation, case law and policies. You will be conducting reviews pursuant to S202 o ...

  • CRA GROUP LIMITED

    Reviews Officer

    2 hours ago

    CRA GROUP LIMITED London, United Kingdom

    Job Description · The objective of this role is to process and determine the statutory request for reviews under Part VI and VII of the Housing Act 1996. You will ensure that decisions are made in accordance with legislation, case law and policies. You will be conducting reviews ...