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

Continuum Medical Staffing

Travel Paramedic - $1,800 per week Job at Continuum Medical Staffing

 ...Continuum Medical Staffing is seeking a travel Paramedic for a travel job in Spirit Lake, Iowa. Job Description & Requirements ~ Specialty: Paramedic ~ Discipline: Allied Health Professional ~ Duration: 13 weeks ~40 hours per week ~ Shift: 12 hours, nights... 

Rhodium Group

Research Assistant - International Energy and Climate Job at Rhodium Group

 ...Research Assistant to join the companys International Energy and Climate team. Location is flexible but our preference is Rhodiums San...  ...expertise are Chinas economy and policy dynamics, and global climate change and energy systems. More information is available at... 

Tumblerware

Content Strategist Job at Tumblerware

 ...the intersection of creative, performance, and execution. Youll turn strong ideas into content systems that actually work, across social, email, site, and creators, while acting as the connective tissue during major launches and seasonal campaigns. If you love content... 

Molly Maid of North Pierce & South King Counties

House Cleaner Job at Molly Maid of North Pierce & South King Counties

Our amazing team is looking for House Cleaners, no experience required.Great company! Great work environment! No nights, no weekends! Family friendly hours. Great weekly pay and tips, paid training, and a family culture All cleaning supplies and equipment... 

TCAT Nashville

Aviation Maintenance Associate Instructor Job at TCAT Nashville

 ...Position Announcement Title: Aviation Maintenance Associate Instructor (Full-Time) Classification: Exempt Direct supervision received from: TCATN - Vice President Functional supervision received from: TCATN - President Office Location(s): Nashville...