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

Hyatt Hotels

Hotel Laundry Attendant Job at Hyatt Hotels

 ...attentive associates who are focused on providing efficient service and meaningful experiences. The Laundry Attendant is responsible for processing hotel and guest laundry, including pressing, sorting and folding. Laundry Attendants use commercial pressing and... 

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.... 

Dynamic Systems Technology, Inc.

Program Manager - IMCOM Systems Navigators Job at Dynamic Systems Technology, Inc.

 ...Navigators and ACS Compliance Specialists (SNACS) Support Services contract. The PM serves as the primary point of contact between DysTech...  ...Experience managing geographically dispersed teams and remote personnel Work Environment & Location Program management... 

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... 

Lightning Logistics

Non CDL Freight Delivery Driver (FT) Overnights Job at Lightning Logistics

 ...Experienced Freight Delivery Driver (Non CDL) FT OVERNIGHTS - Serious Inquiries Only MUST HAVE BOX OR STRAIGHT TRUCK VERIFIABLE EXPERIENCE. This is a 1099 POSITION and an OVERNIGHT POSITION ONLY! Lightning Logistics LLC is looking for a team player who is...