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,

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