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

Aequor

Training & Development Senior Assoc Job at Aequor

Fully remote position, but a plus if candidate has access to *** Thousand Oaks **Urgent role- shortlisting EOD Thurs 1/22- Manager...  ..., interviews, podcasts, stock edits and motion graphics. A plus if candidate has experience in animation, 360-degree, or graphic design.

RestoreCore

Finish Carpenter - Commercial Restoration Job at RestoreCore

 ...Complete repairs and reconstruction projects (carpentry, drywall, painting, flooring, cabinets, tile, light plumbing & electrical)...  ...preferred ~ Ability to lead small crews and coordinate with subcontractors ~ Strong communication skills with customers, managers, and... 

American Society of Plumbing Engineers

Airport Engineering Director — Lead $3.5B Capital Program Job at American Society of Plumbing Engineers

 ...A municipal authority is seeking an Engineering Director to lead the Engineering Division at Charlotte Douglas International Airport. The role involves managing large-scale engineering and construction programs with a focus on safety, efficiency, and compliance with regulatory... 

Bestica

TRAVEL - RN - MED SURG/ONCOLOGY - 8T ONCOLOGY (608) - Wesley MC - 7AM - 7PM Job at Bestica

 ...TRAVEL - RN - MED SURG/ONCOLOGY - 8T ONCOLOGY (608) - Wesley MC - 7AM - 7PMUnit Information: (Medical Oncology/ 60719)Location: 4 East Central TowerAddress: 1501 S Potomac Street Aurora, CO 80012Floor: 4 EastBuilding: Main South Building General InformationTell us about... 

FlyUSA, Inc.

Chief Pilot Job at FlyUSA, Inc.

At FlyUSA, we're redefining the private aviation experience from start to finish. As leaders in the industry, we provide comprehensive...  ...Position Overview: FlyUSA is seeking an experienced Chief Pilot to lead our Part 135 operations with the same precision and passion...