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

Addison Group

Senior Drupal Developer (US Citizen, Public Trust Eligible) Job at Addison Group

 ...Position: Senior Drupal Developer (US Citizen, Public Trust Eligible) Location: 100% Remote U.S. only (CST/EST preferred) Contract Length: Long-term Contract - 612 Months with likely extensions Target Hourly Pay: $65/hr - $70/hr W2 (eligible for benefits... 

South Haven Health And Rehabilitation LLC

LPN Wound Care Nurse - $10k Sign On Bonus Job at South Haven Health And Rehabilitation LLC

 ...Wound Care Nurse - LPN $10k Sign On Bonus! We are seeking applicants forTreatment / Wound Care Nurse, LPN Under the direction of the Director of Nursing or Assistant Director of Nursing, the Treatment Nurse is responsible for the skin care to residents under the medical... 

Fidelity Partners

Research Database Developer Job at Fidelity Partners

 ...Comprehensive benefits including medical, dental and vision options. Outstanding career growth potential. ABOUT US: Fidelity Partners is a Inc. 5000, USA company that provides medical, technical, logistical, and administrative services to the federal... 

State of Florida

SENIOR PUBLIC HEALTH NUTRITIONIST - 64003135 Job at State of Florida

 ...Requisition No:836804 Agency: Department of Health Working Title: SENIOR PUBLIC HEALTH NUTRITIONIST - 64003135Pay Plan: Career Service Position Number:64003135 Salary: $45,000.00 - $50,000.00 Posting Closing Date: 08/26/2025 Total Compensation Estimator... 

Maiden Home

Interior Design Advisor Job at Maiden Home

 ...colleagues, and an eagerness to reimagine the world of luxury furnishings. We are looking for an ambitious and talented Interior Design Advisor to provide world-class consultation and support to our clientele. Our ideal candidate will champion the Maiden Home brand,...