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

Economic Development Corp Michigan City

Economic Development Manager Job at Economic Development Corp Michigan City

 ...Position Summary The Economic Development Manager to help grow, diversify, and sustain the Michigan City economy. This person must have excellent interpersonal skills and high emotional intelligence with the ability to build strong relationships, engage with company... 

Commonwealth Medical Services

Mohs Micrographic Surgeon / Dermatologist (MD/DO) - North Dakota/Minnesota Job at Commonwealth Medical Services

 ...Mohs Micrographic Surgeon / Dermatologist (MD/DO) Position Summary The Mohs Dermatologist provides specialized medical and surgical care for patients with skin cancer, with a primary focus on Mohs micrographic surgery. This role includes the diagnosis, treatment,... 

Decypher

Registered Nurse Labor & Delivery Job at Decypher

 ...support quality care for our veterans, servicemembers and their families, across the United States. Job Summary Labor and Delivery registered nurses to provide specialized care for pregnant, postpartum, and high-risk obstetric patients. L&D RN will be administering... 

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... 

Peraton

Cloud Software Engineer Job at Peraton

 ...validation, and streaming solutions. About The Role Cloud Software Engineer Cyber Missions Team Location: Annapolis Junction, MD...  ..., as well as geographic location and business and contract considerations. Depending on the position, employees may be...