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Advisor, Communications Review- Supervision

  • Full Time
  • Anywhere

Raymond James Financial, Inc.

Raymond James Financial, Inc. — Lathrup Village, Oakland County

Essential Duties and Responsibilities: – Conducts compliance review of social media communications using various reports and systems. Pro-actively ensures compliance with applicable industry rules (i.e. State, FINRA & SEC) and platform policies and procedures as they apply to social media communication review. – Communicates with associates to inform them of any social media supervisory concerns a…

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