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Compliance Associate

CICC New York, United States
Posted 4 days ago Permanent $N/A
We are seeking a compliance associate to join our growing legal & compliance team. This position will report directly to CCO of CICC US. The ideal candidate will be a proactive team player who is comfortable with daily tasks and seeing complex projects through to completion.

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.
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