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

Weed Man Lawn Care

Door-to-Door Lead Generator Job at Weed Man Lawn Care

 ...succeed.Position OverviewWe are looking for energetic, customer-service-oriented individuals to join our successful team. As a lead generator, youll play a key role in our marketing efforts and serve as the first point of contact for potential customers.Working... 

Go Lean Health

Sleep Medicine Physician Job at Go Lean Health

 ...Sleep Medicine Physician Location: Allen and Plano Texas Employment Type: Part-Time - around 20 hours/week Specialty: Sleep Medicine Rate: $125 to $150/hour About the Role We are seeking a compassionate, board-certified Sleep Medicine... 

Nymbus

Fraud Investigator Job at Nymbus

 ...at designated locations. POSITION SUMMARY: The Fraud Investigator plays a critical role in protecting the financial assets, operational...  ...Finance, or a related field preferred. Minimum 5 years of experience in fraud investigation or advanced fraud analysis, preferably... 

Clarifi Staffing Solutions

Early Childhood Speech Pathology Availability! Job at Clarifi Staffing Solutions

 ...therapy sessions. Requirements Candidates must hold ASHA certification and have earned a Masters degree in Speech-Language Pathology or a closely related discipline. Applicants should either already possess or be eligible for a valid Speech-Language Pathology... 

BeloForm Craft

Event Staff Job at BeloForm Craft

 ...with a strong sense of identity and purpose. Job Description We are currently seeking motivated and detail-oriented Event Staff to support the planning and execution of events in Atlanta, GA. This role is ideal for individuals who enjoy dynamic environments...