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

Gpac

Hybrid/Remote Tax Supervisor Job at Gpac

 ...returns Tax Supervisor Qualifications:* Bachelor's Degree in Accounting* CPA preferred* 5+ years of experience in public accounting...  ...:* $90,000-$120,000* Excellent benefits package* Hyrbid Remote role To be considered, please apply with a resume. If you... 

The Comforted Canine

Dog Sitter Job at The Comforted Canine

 ...Professional Dog Sitter & Dog Walker (Independent Contractor) Orange County, CA Metro Area The Comforted Canine is contracting...  ...walkers in the Orange County metro area . This is not casual pet sitting. Dog parents hire our sitters for safety, reliability, and... 

Johns Hopkins Medicine

OR RN 13 Week Contract - Sibley Ambulatory Surgery Center Job at Johns Hopkins Medicine

 ...; a medical building with physician offices and ambulatory surgery and imaging centers; and the new patient tower with 200 spacious, private rooms...  ...Qualifications: Graduate of an accredited nursing program Active RN license in the District of Columbia BLS CPR... 

Express Ave Logistics

Delivery Driver Associate (Amazon - Prime) Job at Express Ave Logistics

 ...ethics will get you the job!! EXPRESS AVE. LOGISTICS is an Amazon Delivery Service Partner looking for dependable,...  ...get every Amazon order to the customers door safely and on-time.We offer full and part-time opportunities. Company Vehicle Provided!... 

Houston Methodist

Nutrition Assistant - Part Time/Evenings Job at Houston Methodist

 ...At Houston Methodist, the Nutrition Assistant position is responsible for educating the patient on the dining services programs/process, is the initial point of contact for problem resolution, and assures that information regarding the diet is accurate. This position...