Director, Compliance Regulatory

Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Our core mission revolves around innovating the investing landscape through a digitized brokerage and wealth management platform designed to elevate the investment experience. Key entities include:

• Futu Clearing Inc.: An SEC registered FINRA member dedicated to delivering top-tier clearing and execution services globally.
• Moomoo Financial Inc.: An SEC registered FINRA member providing retail investors access to both U.S. and Asian securities markets.
• Moomoo Technology Inc.: Offering a data-rich trading platform with unparalleled insights and tools (not a licensed broker-dealer).

This role must be based in one of our office locations: Dallas, TX or Jersey City, NJ. Remote work is not available for this position.

Responsibilities

• Regulatory Examinations and Investigations:
  • Serve as the primary coordinator and project owner for all regulatory examinations, audits, investigations, and information requests from FINRA, the SEC, state regulators, exchanges, and other governmental agencies.
  • Lead the firm's responses to routine and cause examinations, investigations, cycle examinations, and regulatory inquiries.
  • Coordinate information gathering across Compliance, Operations, Technology, Risk, Finance, and business units to ensure timely and accurate responses.
  • Maintain examination logs, regulatory correspondence, document repositories, and response tracking systems.
  • Prepare and coordinate management responses, remediation plans, and corrective action initiatives resulting from examinations or findings.
  • Conduct internal investigations involving potential regulatory violations, supervisory concerns, customer complaints, and other compliance matters.
  • Provide regular updates to senior management and the Chief Compliance Officer regarding examination status, findings, risks, and remediation efforts.
• Clearing Operations Compliance Oversight:
  • Provide compliance support and guidance across all clearing operations functions.
  • Maintain a thorough understanding of clearing and settlement processes, securities movements, securities lending, customer account activity, margin requirements, books and records requirements, and operational controls.
  • Assist in the development and enhancement of policies, procedures, and controls designed to mitigate operational and regulatory risks.
  • Participate in new product reviews, operational initiatives, and regulatory change management projects impacting clearing activities.
• Trade Surveillance and Market Conduct:
  • Possess and maintain a comprehensive understanding of trade surveillance programs and market conduct requirements.
  • Partner with surveillance personnel to evaluate potential trading violations and determine appropriate escalation and reporting actions.
  • Support responses to regulatory requests involving trading activity and surveillance inquiries.
• Anti-Money Laundering and Financial Crimes Compliance:
  • Maintain a thorough understanding of Anti-Money Laundering requirements applicable to broker-dealers and clearing firms.
  • Support the administration and effectiveness of the firm's AML program, including customer due diligence, transaction monitoring, sanctions compliance, and suspicious activity investigations.
  • Assist with AML-related regulatory examinations, requests for information, and remediation efforts.
  • Collaborate with AML personnel to identify emerging risks and strengthen financial crime controls.
• General Compliance Responsibilities:
  • Monitor regulatory developments affecting broker-dealer clearing firms and assess their impact on the organization.
  • Assist in the development and maintenance of Written Supervisory Procedures and Compliance Policies.
  • Participate in risk assessments and control reviews across business and operational functions.
  • Support implementation of regulatory initiatives and strategic compliance projects.
  • Develop and maintain productive relationships with business leaders, affiliated firms, and control functions.
  • Promote a strong culture of compliance and ethical conduct throughout the organization.

Requirements

• Required Experience:
  • Minimum of seven (5) years of compliance experience within a FINRA-regulated broker-dealer, clearing firm, or financial services organization.
  • Significant experience managing or coordinating regulatory examinations, investigations, and information requests from FINRA, the SEC, and other regulators.
  • Demonstrated knowledge of broker-dealer clearing operations and regulatory requirements applicable to clearing firms.
  • Strong knowledge of trade surveillance and market conduct requirements.
  • Strong knowledge of Anti-Money Laundering regulations and financial crime controls applicable to broker-dealers.
  • Experience working in complex, highly regulated financial services environments.
• Licensing Requirement:
  • FINRA Series 7 License - Required
  • FINRA Series 24 License - Required
  • FINRA Series 3 License - Preferred
  • FINRA Series 4 License - Preferred
• Knowledge and Skills:
  • Comprehensive understanding of broker-dealer clearing operations and related regulatory requirements.
  • Working knowledge of SEC and FINRA rules governing broker-dealers and clearing firms.
  • Strong project management and organizational skills with the ability to manage multiple regulatory initiatives simultaneously.
  • Excellent investigative, analytical, and problem-solving capabilities.
  • Exceptional written and verbal communication skills.
  • Strong attention to detail and ability to work under tight regulatory deadlines.
  • Proficiency in managing large-scale information requests and coordinating cross-functional teams.
• Preferred Attributes:
  • Experience working within multinational financial organizations.
  • Familiarity with affiliate clearing arrangements and omnibus clearing environments.
  • Demonstrated ability to lead cross-functional projects and influence senior stakeholders.
  • Ability to thrive in a fast-paced, highly regulated environment while maintaining a strong control mindset and commitment to regulatory excellence.

Benefits

• Comprehensive Paid Medical Benefits covering you and your dependents.
• 401k Employer Contribution with matching.
• Generous Paid Time Off & Paid Holidays.
• Opportunities for Professional Growth & Development through hands-on learning, skill-building, and cross-functional work.
• Performance-Based Bonuses.

Pay

The expected salary range for this role is $190,000 - $230,000. This role is also eligible to participate in our discretionary bonus plan.