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

Aerotek

SMT Operator Job at Aerotek

**Job Title: SMT Operator****Job Description**As an SMT Operator, you will be responsible for manually assembling systems using torque drivers and hardware, performing load functions on hardware, soldering components onto circuit boards, and functionally testing completed... 

Hire Energy

Box Truck Delivery Driver / Warehouse Job at Hire Energy

 ...Job Title:Box Truck Delivery Driver/ Warehouse Hours: M - F from 8:00am - 4:30pm (May vary based on production needs) + Weekends when needed. Location: Garland, TX Pay: $18/hr *** If you enjoy working for a growing company with superior customer service, come... 

360 Headhunter

HVAC Commercial Project Manager Job at 360 Headhunter

 ...Job Description Are you in HVAC with experience running commercial projects? Are you looking to grow your career and land in a spot...  ...South Dakota, let's talk specifics on this unique HVAC project management position today. This group is the market leader for projects... 

The Mill Adventure

Regulatory Compliance Officer Job at The Mill Adventure

 ...accommodate the right working conditions for each individual in remote, office-based or mixed models. We see the strength in being different...  ...world, we are looking for a new team member, to strengthen our compliance efforts. We see this as a great opportunity for an ingenious... 

Bullock Protection LLC

Unarmed Security Officer Job at Bullock Protection LLC

 ...Job Opening: Unarmed Security Officer Bullock Protection LLC Bullock Protection LLC, a leader in private security services, is excited to announce an opening for a full-time Unarmed Security Officer position. This role is essential in maintaining the safety and security...