Compliance Associate

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.