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Job Description: We are seeking a compliance officer 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
Draft and rework compliance policies and procedures
Support firm-wide projects as needed
2-5 years of relevant experience in Compliance in the securities services sector in the U.S.
Understanding of SEC and FINRA rules and reuglations
Ability to speak, read and write Mandarin Chinese is preferred.
The preceding job description has been designed to indicate the general nature and level of the work performed by employees within this classification. It is not designed to contain or be interpreted as the comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job.