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

ScionHealth

RN OR PRN Job at ScionHealth

 ...living our values in our day-to-day interactions with our patients and teammates. Job Summary The Registered Nurse - Surgery (RN-Surgery) provides direct and comprehensive nursing care to surgical patients within an acute care hospital setting. Utilizing the nursing... 

State of Illinois

CORRECTIONAL OFFICER Job at State of Illinois

 ...can only be reached via promotion. *****DO NOT APPLY ONLINE***** Follow the application Instructions on the Correctional Officer Trainee posting. Posting Identification Number 36674 Position Overview The Correctional Officer performs security... 

Pharmavise Corporation

UX UI Designer Job at Pharmavise Corporation

 ...This is a remote position. We are seeking a talented and self-driven UX/UI Designer to create intuitive, compliant, and user-focused digital experiences for regulated medical devices and life sciences applications. This role requires balancing creativity with regulatory... 

California State University, Northridge

Staff Counselor/Psychologist - University Counseling Services 26-15 Job at California State University, Northridge

 ...Staff Counselor/Psychologist - University Counseling Services 26-15 Full-Time Faculty Position Announcement Department: University Counseling Services Faculty Hire Number: #26-15 Rank: SSP AR I, 12-Month Effective Date of Appointment: Spring Semester... 

AtkinsRéalis

Architectural Intern - Summer 2026 Job at AtkinsRéalis

 ...Job Description WE ARE HIRING! AtkinsRalis is seeking an Architectural Intern to join our Alexandria, VA office. ABOUT US AtkinsRalis is a world-class engineering services and nuclear organization. For over 50 years, we've partnered with public and private...