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

Gpac

Hybrid/Remote Tax Supervisor Job at Gpac

 ...returns Tax Supervisor Qualifications:* Bachelor's Degree in Accounting* CPA preferred* 5+ years of experience in public accounting...  ...:* $90,000-$120,000* Excellent benefits package* Hyrbid Remote role To be considered, please apply with a resume. If you... 

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...

Recovery Resource Council

SSVF Health Care Navigator Job at Recovery Resource Council

 ...maintain health care services, as well as their strengths, limitations, risk factors, and supports. The HCNs focus is on community services, outreach, and referrals while also working with the interdisciplinary team to develop a care plan. The HCN should provide care... 

Guardian Proservices

Airline Baggage Handler - RDU Airport Job at Guardian Proservices

 ...job security training and the ability to receive all applicable airport security badges. Job Specifics & Requirements:...  ...grammar, tone, and pronunciation to effectively communicate with internal and external customers Complete all required training including... 

Reikart House

Full Time Laundry Attendant - Reikart House Job at Reikart House

 ...Exceptional, Unique, Independent - Boutique Hotel in Amherst, NY. The Reikart House , A Tribute Portfolio Hotel , is looking for a Laundry Attendant to become part of this Award-Winning Team ! Come work for a company where you can grow and start a career....