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

Trusted Health

Oncology Unit - Registered Nurse - $2,766 per week Job at Trusted Health

Trusted is seeking an experienced nurse for this exciting travel nursing assignment. Trusted...  ...(required for submission). COVID vaccination required after submission. Religious and...  ...Religious and medical declinations accepted. Flu vaccination required for submission.... 

JPMorgan Chase & Co.

Product Manager - Open Source Developer Experience Job at JPMorgan Chase & Co.

 ...source forums and communities, and contribute open source code to the upstream repositories of projects we consume. As a Product Manager in the Office of CTO you are an integral part of the team that innovates new product offerings and leads the end-to-end life... 

Celestica

Senior Process Engineer for SMT Job at Celestica

Req ID: 129728Region: AmericasCountry: USAState/Province: TexasCity: Richardson**General Overview****Functional Area:** Engineering**Career Stream:** Process Engineering Manufacturing**SAP Short Name:** SLE-ENG-PRM**Job Level:** Level 09**IC/MGR:** Individual ...

PwC

Tax Senior Associate - Private Companies Save for Later Remove job Job at PwC

 ...advisory needs such as audit, tax compliance, and planning to help...  ...values-driven leader at every level. To help us achieve this we...  ...services; Managing engagements by preparing concise, accurate documents...  ...intend to hire experienced or entry level job seekers who will... 

VCA Animal Hospitals

Veterinary Assistant Job at VCA Animal Hospitals

 ...Veterinary Assistant Park Cities Animal Hospital is currently welcoming a full-time dependable and caring Veterinary Assistant to join our team. This is an exceptional opportunity for an organized, motivated, and empathetic individual to join us in a very important...