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

Impact Kids

Spanish Teacher Job at Impact Kids

 ...for over 10 years, and today we serve students at public and private schools across the country. Students have a safe space to develop, learn...  ...Looking For: Looking for experienced individuals for teaching and instruction of spanish for adults. The ideal candidate would... 

Saransh Inc

JCL Program Manager - Remote (US) Job at Saransh Inc

 ...Job Title: JCL Program Manager Location- Remote (US) Duration- 12 mos. Skill Metrics: DB2 Mainframe Modern delivery JCL COBOL/400 What are the top skills required for this role? JCL COBOL DB2 Mainframe... 

Somewhere

Bookkeeper + Accountant (Part-time, remote) Job at Somewhere

 ...Bookkeeper + Accountant (610 hrs/week) Location: Remote (U.S.-based only) Schedule: 610 hours per week (contract / part-time) The Role Were seeking a part-time bookkeeper/accountant to manage day-to-day accounting, AppFolio workflows, and consolidated... 

Lensa

Warehouse Picker Order Selector Job at Lensa

 ...Pallet Jacks - Voice Audio - Headsets - Picking - Picker - Order - Order Selecting Pallets Total Rewards Pay starting at $20.55 per hour. The employee will move to a higher rate of $21.63 per hour in the quarter after their 6 month anniversary. Benefits,... 

Marburger Dairy

CDL Delivery Driver Class A or B Job at Marburger Dairy

 ...routes in a timely and efficient manner Load and unload trucks, including lifting items up to 50 lbs Provide courteous and professional customer service during deliveries Maintain cleanliness and organization of delivery vehicles and work areas Follow all safety...