Jobs
>
London

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

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

    1 week ago

    Default job background
    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 reviewsDocument 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.

    RequirementsRelevant 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 30Established hybrid working policy and openness to flexible workingGenerous pension contributionsPrivate medical healthcareDiscounted 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

    1 week 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 ...

  • RCB REFURBISHMENTS 2021 LTD

    Review Officer

    1 week 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 ...

  • Eden Brown Synergy

    Review Officer

    2 days ago

    Eden Brown Synergy London, United Kingdom

    **Location**: Redbridge · **Rate**: £25.23 per hour UMB · Are you passionate about advocating for individuals experiencing homelessness and ensuring fair decisions? Were seeking a Review Officer for an immediate start in Redbridge. This role offers a competitive rate of £25.23 pe ...

  • Adecco UK

    Review Officer

    1 day ago

    Adecco UK London, United Kingdom

    An exciting opportunity has arisen for a Review Officer to join a public sector organisation based in East London. · **Key duties**: · - 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 ...

  • Colbern Limited

    Review Officer

    1 week 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 ...

  • chase recruitment group ltd

    Review Officer

    3 days ago

    chase recruitment group ltd London, United Kingdom

    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 a review. · - To ensure custom ...

  • iWork Recruitment Limited

    Review Officer

    1 week 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 ...

  • iWork Recruitment Limited

    Review Officer

    6 days 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 ...

  • Cleantech People

    Review Officer

    1 week 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 ...

  • Coretta

    Reviews Officer(Ehcp)

    4 days ago

    Coretta London, United Kingdom

    Our client, London based local authority is looking for a Reviews Officer with previous Education Healthcare Plan reviews experience to start immediately on a rolling contract at £30 per hour in East London. · Pay: £30.00 per hour · **Benefits**: · - Flexitime · - Profit sharing ...

  • Colbern Limited

    Assessment and Review Officer

    2 days ago

    Colbern Limited London, United Kingdom

    NCD · Assessment and Review Officer · Walthamstow, Waltham Forest · Contract · £207.58 per day PAYE or £268.92 per day Limited paid via Umbrella Company Inside IR35 · Our client is looking for an experienced Assessment and Review Officer. · Experienced staff who can write EHCP's ...

  • chase recruitment group ltd

    Assessment and Review Officer

    1 week 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 ...

  • Novax Recruitment Ltd

    Coordination & Review Officer

    4 days ago

    Novax Recruitment Ltd London, United Kingdom

    **Coordination & Review Officer** · **London Borough of Lambeth** · **SW2** · **£25 P/H (Umbrella)** · We are currently looking for a Coordination & Review Officer to facilitate and coordinate the delivery of the Lambeth Reviews function for all requests for Review and Suitabilit ...

  • Colbern Limited

    Complaints Review Officer

    2 days ago

    Colbern Limited London, United Kingdom

    · Complaints Review Officer · Tower Hamlets · Contract · £23.48 per hour · Our client is looking for an experienced Complaints Review Officer. · Responsible to the Customer Relations Manager who reports to the Head of Regulatory Assurance. The role is to undertake Stage 2 review ...

  • Akton Recruitment

    Assessment and Review Officer

    1 day ago

    Akton Recruitment London, United Kingdom

    **Assessment and Review Officer** · **Waltham Forest** · **£268.92/day** · **36/hrs a week** · **Start date: ASAP** · AKTON Recruitment is working closely with the local authorities and we are looking for an experience Assessment and Review Officer in the Waltham Forest area mont ...

  • Eden Brown

    Independent Reviewing Officer

    6 days 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

    1 week 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

    1 week 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 ...

  • Achieving for Children

    Independent Reviewing Officer

    1 week 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 ...

  • Shandah Limited

    Assessment and Review Officer

    2 days ago

    Shandah Limited London, United Kingdom

    Shandah Limited is look for an Assessment Review Officer to provide temporary cover working for a local authority. · Work Location - Waltham Forest · The placement will start 25/03/2024 and finish on 21/06/2024 initially. The minimum rate will be £200 per day. · The Post Holder w ...