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

MRINetwork Jobs

Plant Manager - Injection Molding Job at MRINetwork Jobs

 ...Plant Manager opportunity with a long-established plastics manufacturer recognized for quality, innovation, and efficient production. This organization produces high-performance plastic components for a variety of industries and is looking for a proven leader to oversee... 

Universal Orlando Resort

Coordinator, Marketing - Social Media (Temporary) Job at Universal Orlando Resort

 ...JOB SUMMARY: The Social Media Coordinator plays a major role in growing Universal Orlando Resorts presence in the social media space...  .... Collaboration: ~ Work closely with social leads, marketing, communications, and internal creative teams to ensure consistent... 

Enterprise Medical Recruiting

Louisville, KY Gastroenterology - Subspecialty Treatment & H1B Visa Support Job at Enterprise Medical Recruiting

 ...repayment ~ Residency/Fellowship stipend ~ Excellent benefits including 7 weeks of PTO, retirement plans ~ Malpractice + tail ~ H1B visa support About Louisville, Kentucky Louisville, Kentucky, with a population of 1+ million, sits on the Ohio River along... 

RTRO

React Native Engineer Job at RTRO

 ...Job Description: San Jose-based React Native Engineers, RTRO is calling upon you! We are a well-funded Los Angeles startup looking to hire a highly skilled React Native Engineer to work remotely on our Ecommerce iOS application. While this role is fully remote, we are... 

Royal Caribbean Cruises, Inc.

ENTERTAINMENT LIGHTING TECHNICIAN Job at Royal Caribbean Cruises, Inc.

ENTERTAINMENT LIGHTING TECHNICIANAs a Light Technician, you will program, position, operate, and maintain all aspects of lighting, show control, and haze/low fog systems in various entertainment venues and activities. You will work closely with the Head Sound and Light...