Compliance Associate

Manhattan Permanent USD60,000 - USD95,000
  • Opportunity to join a dynamic compliance department
  • Client will move quickly with qualified candidates

About Our Client

Our client is a one of China's leading Investment Banking firm that engages in Investment Banking, Securities, Investment Management, and other financial services primarily with Institutional Clients.

Job Description

Responsibilities:

  • Manage day to day Compliance operations.
  • Aid CCO with Compliance program initiatives.
  • Conduct research with proprietary tools to identify red flags in AML & Market Manipulation.
  • Support firm-wide projects as needed.



MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

The Successful Applicant

Qualifications:

  • 2-5 Years of Compliance Experience within a US Broker-Dealer firm.
  • Experience with automated Surveillance tools for customer screenings and market surveillance is a plus.
  • Knowledge of SEC and FINRA rules & Regulations is a plus.
  • Ability to speak, read, and write Chinese is a plus.

What's on Offer

Our client offers a competitive package.

Contact
Josh Delgado
Quote job ref
JN-032022-5386944

Job summary

Sector
Banking & Financial Services
Sub Sector
Compliance & Legal
Industry
Financial Services
Location
Manhattan
Contract Type
Permanent
Consultant name
Josh Delgado
Job Reference
JN-032022-5386944