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

Lightning Logistics

Non CDL Freight Delivery Driver (FT) Overnights Job at Lightning Logistics

 ...Experienced Freight Delivery Driver (Non CDL) FT OVERNIGHTS - Serious Inquiries Only MUST HAVE BOX OR STRAIGHT TRUCK VERIFIABLE EXPERIENCE. This is a 1099 POSITION and an OVERNIGHT POSITION ONLY! Lightning Logistics LLC is looking for a team player who is... 

Infinity Quest UK

ODI ETL developer Job at Infinity Quest UK

 ...We are seeking a talented ODI Developer with IDMC knowledge to design, build, and optimize enterprise data integration solutions. The role involves migrating ODI-based ETL pipelines to Informatica IDMC for modern cloud-native data integration, governance, and quality... 

Commonwealth Medical Services

Mohs Micrographic Surgeon / Dermatologist (MD/DO) - North Dakota/Minnesota Job at Commonwealth Medical Services

 ...Mohs Micrographic Surgeon / Dermatologist (MD/DO) Position Summary The Mohs Dermatologist provides specialized medical and surgical care for patients with skin cancer, with a primary focus on Mohs micrographic surgery. This role includes the diagnosis, treatment,... 

Stellent IT LLC

Embedded Software Engineer Job at Stellent IT LLC

 ...Job Title: Embedded Software Engineer Location: Chillicothe, Ohio Interview: Virtual Long term contract role Will consider entry level if they have strong projects and or internships. Job Title: Embedded Software Engineer Job Description... 

GIG

Entry Level Event Assistant Job at GIG

 ...engagement at in-person events. This entry-level role is perfect for individuals interested in event planning, fundraising, sales, brand promotions, or marketingand eager to gain hands-on experience in a fast-paced, dynamic environment. Youll work closely with an...