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

Soleil Labs, LLC

Scientist II / Sr. Scientist, Protein Biochemistry, Purification Job at Soleil Labs, LLC

 ...biochemistry, molecular biology, structural biology or a related discipline with postdoc and 2-5+ years relevant industry experience. Biotechnology and startup experience is strongly preferred. M.S. degree in biochemistry, molecular biology, structural biology or a related... 

Department of Developmental Services - Porterville Developme...

Pre-Registered Dietitian Job at Department of Developmental Services - Porterville Developme...

 ...Developmental Center (PDC). Under direct supervision of a registered dietitian, the incumbentassists in the development and implementation of...  ...problem solving skills and ability to communicate effectively. Travel may be required. May work around wet surfaces. As situations... 

GD Mission Systems

SWC Flight Segment Enhancement System Engineer Job at GD Mission Systems

 ...Responsibilities for this Position SWC Flight Segment Enhancement System Engineer ID: 2025-68403 USA-MA-Pittsfield Required Clearance: Secret, obtainable within reasonable time based on requirements Posted Date: 10/11/2025 Category: Engineering-Systems... 

Delta-T Group Inc.

RN $60/hr LPN $55/hr: Immediate Start! Job at Delta-T Group Inc.

 ...for referring highly qualified professionals for rewarding short and long-term contract opportunities. One of our clients is seeking Registered Nurses (RN) or Licensed Practical Nurse s(LPN) to provide support and care in the Carver/Lakeville area. Immediate start.... 

The Vanguard Group

College to Corporate Internship Data Analyst Job at The Vanguard Group

 ...flexibility while enabling in-person learning collaboration and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience. Required Experience: Intern...