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

Crete Professionals Alliance, LLC

Accounting Manager Job at Crete Professionals Alliance, LLC

 ...Crete PA) aims to drive growth across accounting and professional service firms in the...  ...platform. Supported by ZBS Partners, a firm managing over $500 million in assets, and led by...  ...are cloud technology based, and outsourced services. The services are categorized... 

Christus Health

Physician Assistant- Surgical Job at Christus Health

 ...in a vibrant cultural scene rich in arts, music and cuisine. This is more than a job--its a chance to make a difference in a community that values you, while living in one of the most beautiful places in the country. The Position :This is a full-time M-F: 8-... 

Esferasoft Solutions Pvt. Ltd.

Web Designer Job at Esferasoft Solutions Pvt. Ltd.

# Design and develop website layouts , templates, and visual elements. # Create responsive web designs compatible with desktop, tablet, and mobile devices. # Work with tools like Figma, Adobe XD, Photoshop, or Illustrator for mockups and prototypes. # Collaborate... 

Homewood Suites by Hilton Mobile, AL

Laundry Attendant Job at Homewood Suites by Hilton Mobile, AL

Kana Hotel Group's mission is to be one of the most admired and service quality driven hotel companies in the industry. We will accomplish...  ...of the first drying cycle Ensures that all storage & laundry rooms are locked before clocking out Removes laundry from chutes... 

Papa John's

Delivery Driver - Up to $20 per hour - Pantops area Job at Papa John's

$20 Per Hour minimum GUARANTEED. Make Money! Have Fun! Flex Schedule! Requirements for wage guarantee: - 20 hour minimum work week - 3 shifts minimum per week, 1 being a weekend closing shift per week - 2 Weekend Late or Closing shifts (closing shift = an hour before...