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

CFS

Entry Level Accountant Job at CFS

 ...Job Title: Entry Level Accountant Location: On Site in Canton, OH Schedule: Monday - Friday Salary: $40,000- $52,000 About...  ...Entry Level Accountant ~ Bachelors Degree in Accounting or Finance ~0-3 years of relevant experience ~ Strong attention to... 

Vault Manufacturing

Production Operator - $20+/hr Job at Vault Manufacturing

 ...packaging, and quality inspection is preferred but not required. GREAT training program that sets you up for success! Pay rate: $20.00 per hour with an additional $0.50 shift premium for those on 2ndor 3rdshift. Must be able to train on 1st shift 2nd: 2:30pm - 10:... 

Holiday Inn Express Durango

Hotel Laundry Linen Attendant Job at Holiday Inn Express Durango

 ...Job Purpose: To tend laundering machines to clean articles such as wearing apparel, sheets, blankets, and other linens used by the hotel and guests.Benefits: $750 Hiring BonusFull Time or Part Time Hours AvailableHoliday PayEarn PTOImmediate Hotel Employee Discount... 

Durahome Painting Plus

Painter - Sub Contractor Job at Durahome Painting Plus

 ...Are you an experienced painting sub-contractor eager to collaborate with a progressive team that values partnership and integrity? If so, we might be your perfect match. Why Partner With Us?# Competitive Compensation: We believe in fair pay. Should the scope of work... 

Bon Secours Mercy Health

Registered Nurse (RN) Outpatient Wound Care - Paducah Medical Pavilion Job at Bon Secours Mercy Health

 ...team and help us continue to provide the highest quality of health care possible to our communities. Mercy Health About Us As a...  ...help communities thrive. Registered Nurse (RN) Outpatient Wound Care Paducah Medical Pavilion Job Summary The Outpatient...