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

General Atomics

Machine Learning Ops Engineer Job at General Atomics

 ...unique intelligence needs.We are seeking an MLOps engineer who will streamline the end-to-end machine learning lifecycle, from research, development and...  ...Yes **Clearance Required?** Desired **Clearance Level** Entry-Level (0-2 years) **Workstyle** OnsiteGeneral Atomics... 

Helm Ai

Software Engineer, Autonomous Vehicles Job at Helm Ai

 ...and accessible. Helm.ai builds AI software for autonomous driving and robotics. Our...  ...made up of people with a diverse set of experiences in software and academia. We work together...  .... You will: Design, develop, and deliver safe, scalable, and robust... 

Adtalem Global Education

Quality Assurance Learning Experience Designer Job at Adtalem Global Education

 ...The Quality Assurance (QA)Learning Experience Designer actively engages in the review design development and implementation of learning products (e.g. academic programs and courses short courses micro-credentials) working closely with strategic partners and vendors; this... 

A Better Me Fitness LLC

Fitness Coach Job at A Better Me Fitness LLC

 ...Join Our Team as a Fitness Coach at Burn Boot Camp! Are you passionate about fitness and helping others achieve their goals? Burn Boot Camp is looking for an energetic and motivated Fitness Coach to join our high-energy team! If you thrive in a supportive, community-... 

Child Start, Inc.

Family Advocate, Wichita, KS Job at Child Start, Inc.

 ...As a Child Start Family Advocate, you will support full enrollment and program compliance through recruitment and enrollment activities. Build relationships with families that enable successful needs assessments and goal setting. Develop a comprehensive understanding of...