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

Elevenlabs

Remote Customer Success - United States - Mid-Market Job at Elevenlabs

 ...ElevenLabs is a research and product company defining the frontier of audio AI. Millions of people use our technology to read articles, voice over videos, and restore voices lost to disability. Leading developers and enterprises worldwide use ElevenLabs to build intelligent... 

Gpac

Tax Manager or Tax Supervisor Job at Gpac

 ...seeking a qualified Tax Manager or Tax Supervisor . This is a remote position requiring that qualified candidate will reside in Missouri...  ...market Tax Manager Qualifications:* Bachelor's Degree in Accounting or related field* CPA Certified Preferred* Experience with... 

Archer

People Data Analyst Job at Archer

 ...identify data quality improvements Partner with Finance and People Operations teams to develop and manage processes within the headcount...  ...informative reports and dashboards Execute current people analytics deliverables along with innovating for future efficiency... 

CommonSpirit Health

General Surgeon Job at CommonSpirit Health

 ...Job Summary and Responsibilities Virginia Mason Franciscan Health is seeking a General Surgeon for a full-time position on the beautiful campus of St. Michael Medical Center in Silverdale, WA. This is an excellent opportunity to practice in a collegial, multidisciplinary... 

Days Inn / Motel 6 Elmsford

Guest Room Attendant (Hotel Housekeeping) Job at Days Inn / Motel 6 Elmsford

 ...la empresa y los procedimientos de seguridad. En algunos casos esta funcin tambin sera responsable de realizar actividades de 'limpieza profunda' dentro de la habitacin de invitados junto con tareas de mantenimiento preventivo. QUALIFICATIONS: High School diploma...