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

TKO StaffPros

Residential Repairman Job at TKO StaffPros

 ...mandatory. Primary Responsibilities Complete general maintenance and repair work including plumbing, electrical, carpentry, drywall, and painting Address routine service requests and respond to emergency maintenance issues in a timely manner Perform... 

Hyatt Hotels

Hotel Laundry Attendant Job at Hyatt Hotels

 ...attentive associates who are focused on providing efficient service and meaningful experiences. The Laundry Attendant is responsible for processing hotel and guest laundry, including pressing, sorting and folding. Laundry Attendants use commercial pressing and... 

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... 

The Rescue Mission of Roanoke

Administrative Assistant (Clinic) Job at The Rescue Mission of Roanoke

 ...opportunity to spread love, compassion, and smiles as you provide administrative support? At the G. W. Fralin Free Clinic, a ministry of the...  ...a volunteer Medical Director and numerous other volunteer healthcare providers. The clinic team provides the care and services an... 

Guardian Proservices

Airline Baggage Handler - RDU Airport Job at Guardian Proservices

 ...job security training and the ability to receive all applicable airport security badges. Job Specifics & Requirements:...  ...grammar, tone, and pronunciation to effectively communicate with internal and external customers Complete all required training including...