Compliance Associate Job at CICC, New York, NY

K3lqWWhpbTl2SXQzWk5lWkVrVXY1b3dNR1E9PQ==
  • CICC
  • New York, NY

Job Description

Daily responsibilities include but not limited to:

  • Manage compliance operations on the day-to-day basis;
  • Aid CCO with compliance program intiatives;
  • Conduct research with proprietary tools to identify red flags in AML/market manipulation and relevant customer information;
  • Support firm-wide projects as needed;

Qualifications

  • 2-5 years of Compliance experience in the US broker-dealer firms;
  • Experience with automated surveillance tools for customer screening and market surveillance is a plus;
  • Understanding of SEC and FINRA rules and regulations is a plus;
  • Ability to speak, read and write Chinese is a plus.

Job Tags

Full time,

Similar Jobs

GIG

Entry Level Event Assistant Job at GIG

 ...engagement at in-person events. This entry-level role is perfect for individuals interested in event planning, fundraising, sales, brand promotions, or marketingand eager to gain hands-on experience in a fast-paced, dynamic environment. Youll work closely with an... 

Gordon Food Service

Full Time Van Delivery Driver Job at Gordon Food Service

 ...Search Job ID: R-47141 US-Tennessee -Chattanooga Store Drivers Full Time Van Delivery Driver Full time Apply Now Chattanooga, Tennessee...  ...Must be able to use a two-wheel cart with a load weighing up to 350 pounds. Able to lift up to 70 lbs. Be part of... 

Domino's Corporate

Class B CDL Driver - Straight Truck Driver Job at Domino's Corporate

 ...PIZZA AND MORE POSSIBLE Be a part of the world's #1 Pizza company! Job Description Dominos Class B CDL Straight Truck Driver safely drives the company commercial vehicle on established routes to deliver and unload products to Dominos Pizza store locations... 

Precision Landscape Management

Landscape Designer Job at Precision Landscape Management

Precision Landscape is a premier lawn & landscape company in Greenville, SC, dedicated to transforming outdoor spaces into beautiful, functional environments for high end residential properties. We pride ourselves on the Precision Difference: Being Responsive, Reliable...

Nemours

Pediatric Neurologist - Division of Neurology Job at Nemours

**Nemours is supportive of J-1 waiver candidates ** Nemours Children's Health, Pensacola is seeking a Pediatric Neurologist to work in partnership with Studer Family Children's Hospital at Ascension Sacred Heart. Key Responsibilities Responsible for...