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

CEVALogistics

Process Focused Super User Job at CEVALogistics

 ...and Freight Management. We are seeking Process-Focused Super Users to support the successful deployment and user adoption of Manhattan...  ...and Associates WMS and OMS systems. You will coordinate testing, define user workflows, assist with system configuration, and play... 

Gpac

Plant Manager Job at Gpac

gpac is working with an award-winning family-owned growing food manufacturer in the North Central Massachusetts that is seeking a Plant Manager! They have been in business for 15 plus years, specializing in made-from-scratch baked goods crafted with high-quality... 

Leadman and Associates LLC

Plant Manager Job at Leadman and Associates LLC

 ...Leadman & Associates is partnering on an exclusive search for an experienced Plant Manager to lead a high-performing food manufacturing facility located in Portage, WI . This role offers the chance to take ownership of a large, established facility thats recently... 

Abbott Bus Lines, Inc

Motorcoach Operators Job at Abbott Bus Lines, Inc

 ...customer has a positive travel experience. No CDL? No problem! Abbott Bus Lines provides free CDL training with a one-year employment agreement following...  ...Endorsement (training available if not held). Clean driving record with no traffic violations. Clean... 

Society for Science & the Public

Science News Internship Job at Society for Science & the Public

 ...readership, is now accepting applications for its science writing internships.Interns work as full-time science journalists under the...  ...with Science News sister publication aimed at middle school students, Science News Explores.FormerScience Newsinterns have gone...