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

Staff Financial Group

CFO Job at Staff Financial Group

 ...Our client, a $20M privately held company is searching for a CFO to join their team. The CFO will report directly to the CEO and will be responsible for managing and overseeing all financial affairs of the organization and contribute to the long term growth and profitability... 

Krause Family Ford

Body Shop Estimator Job at Krause Family Ford

 ...quality repairs. We have excellent relationships with our DRP partners. We are a DRP for State Farm, Allstate, Nationwide, Geico, MetLife, American Family & The Hartford. We also work with all other carriers. We have up to date equipment and an I-CAR Gold trained staff... 

Prospect Equities

Bilingual Social Media Content Creator Intern Job at Prospect Equities

 ...Job Summary We are seeking a highly motivated and detail-oriented Bilingual Social Media Content Creator/Brand Management Intern (Mandarin/English) for Summer 2025 to join our dynamic team. This internship offers an excellent opportunity to contribute innovative... 

Chick-fil-A Chastain Square/Brookhaven

Chick-fil-A Brookhaven Team Member positions Job at Chick-fil-A Chastain Square/Brookhaven

 ...Chick-fil-A Brookhaven Vision: We Care, We Prepare, We Empower Our Success Job Description We are looking for two passionate and enthusiastic team members for our Brookhaven location. This is not your typical quick service restaurant experience, at Chick-fil... 

Aflac Garden City Office

Insurance Agent Job at Aflac Garden City Office

Insurance Agent This is a truly rewarding Business-to-Business position that offers one of the strongest compensation structures in the industry, hybrid workschedules with no nights, weekends or holidays. Are you ready to start a career where you work for YOU? We...