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

UNC Charlotte

CRM Developer Job at UNC Charlotte

CRM Developer Location Charlotte, NC (University City South area) : The Office of OneIT provides highly reliable information technology infrastructure, tools and services to empower the University to achieve its academic, research, administrative and service goals.... 

Office of the Illinois Attorney General

AAG-Assistant Attorney General - Workplace Rights - Chicago Job at Office of the Illinois Attorney General

 ...skills as well as a strong commitment to public service. Preferred candidates will have at least one year of litigation experience and foreign language skills. Salary : Salaries are commensurate with number of years of practice as a licensed attorney and range from $ 82... 

Jake's Heating, Air, & Plumbing

HVAC install Helper Job at Jake's Heating, Air, & Plumbing

Jakes Heating, Air & Plumbing is looking for an HVAC Install Helper whos ready to roll up their sleeves and learn from the best. If youre dependable, eager to grow in the trade, and not afraid of a hard days work, this is your shot to build a long-term career with... 

Pacific Aviation

Airport Supervisor-Wheelchair Attendants - Boston Job at Pacific Aviation

 ...Pacific Aviation is looking for a motivated and experienced Supervisor to support our operations at Boston Logan International Airport (BOS). This is a great opportunity for someone with strong leadership skills and a passion for aviation to take the next step in their... 

Munich Airport NJ LLC

Airport Operations Planning Specialist Job at Munich Airport NJ LLC

 ...Munich Airport NJ LLC (MANJ), a US-based subsidiary of the renowned German Airport Operator Munich Airport, is responsible for the...  ...maintenance and concession management of Terminal A at Newark Liberty International Airport (EWR). We are seeking a highly motivated Airport...