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

Reeder Chevrolet

Diesel and Gas Technician Job at Reeder Chevrolet

Every employee with Reeder Chevrolet is absolutely critical to its success. Reeder Chevrolet has been a family-owned and operated business since 1912. We were the #1 volume dealer in Tennessee in 2017 and received the Mark of Excellence award. Our rapid growth and fast-...

Chick-fil-A

Cleaning and Sanitation Job at Chick-fil-A

 ...-oriented, and able to perform tasks independently or as part of a team. Key Responsibilities: Cleaning and Sanitation: Power wash the sidewalks every morning. Power wash the trash coral every other day. Sweep, scrub, and mop floors in all areas of the facility... 

Kelly Services

Medical Device Assembler Job at Kelly Services

 ...partnering with Johnson & Johnson located in Irvine, CA. Johnson & Johnson is rapidly expanding and is immediately hiring qualified Medical Device Assemblers to support production demand and new product development.**Position Summary:**As a Medical Device Assembler, you... 

Hilton

Security Officer - Hilton Orlando Lake Buena Vista Job at Hilton

 ...Vista is looking to welcome a Security Officer to join the team! Our hotel, which features 814 guest rooms, is an official Walt Disney World hotel. Our security team consists of our Director, Assistant Director, Security Manager, supervisor and officers. Our... 

Pyramid Management Group

Management internship Job at Pyramid Management Group

 ...PYRAMID MANAGEMENT GROUP, LLC 2026 SUMMER REAL ESTATE INTERNSHIP PROGRAM Pyramid Management Group, LLC, headquartered in Syracuse, NY, is the largest privately held developer, owner and manager of retail shopping centers in the Northeast. We are an entrepreneurial...