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;
- 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.