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

Prisma Health

Medical LabTech/Scientist, Full-Time, Days Job at Prisma Health

 ...manner of problems noted in an individual's training process. 10% Restocks an item in use,...  ...returned to the original position, all phlebotomy equipment is removed, and all bleeding has...  ...training course (per DD214). Work Shift Day (United States of America) Location 1... 

Mayo Clinic

Pathology Reporting Specialist - DLMP Job at Mayo Clinic

 ...documents, tests ordered, and patient case reports which allows the pathologists to focus on patient care. Tasks include transcribing pathology reports as well as research and administrative documents. Responsibilities may include: coordinate patient case correspondence/... 

Aerotek

Cabinet Maker (Prep) Job at Aerotek

 ...seeking skilled production personnel to assist in the assembly/installation of ambulance components.**Responsibilities**+ Assemble Cabinets+ Install cabinets+ Wood working+ Hand/Power tools+ Perform accurate measurements+ Fit and assemble a variety of detailed... 

St Jude Children's Research Hospital

Faculty Position - Department of Pediatric Medicine, Division of Neurology Job at St Jude Children's Research Hospital

 ...SJCRH We seek a highly motivated, faculty-level (clinical track) candidate at the Assistant Member level with training in pediatric neurology. Candidate should have a strong interest in clinical care, health outcomes research and/or quality improvement. Subspecialty... 

Mcare Agency LLC

Wound Care Provider Advanced Wound Care Specialist Job at Mcare Agency LLC

 ...Wound Care Provider Advanced Wound Care Specialist (Virginia Territory Travel Required | Up to 50 Visits/Week) Mcare Agency LLC Partner Provider Placement Position Summary Mcare Agency is seeking an experienced Advanced Wound Care Provider to support our partner...