Middle Office Specialist

About the role

Moomoo Financial Inc. is seeking a Middle Office Specialist to join our dynamic team in Dallas, TX. The ideal candidate will be responsible for reviewing and conducting quality assurance checks on new account applications, account maintenance, operation and risk control support, coordinating projects, and ensuring compliance with regulatory requirements.

Responsibilities

• Assist managers to update current new account policy and procedures and new account associates hiring.
• Provide training and assessment to application review team. Conduct quality assurance checks on processed new account applications and profile update to ensure compliance with regulations and internal policies. Backup reviewing new account applications, account profile update and ensure accuracy and completeness before processing.
• Prepare and send corporate action notices to clients, ensuring accurate and timely communication.
• Cook up and distribute outbound group emails at firm level, maintaining professionalism and adherence to company policies.
• Follow a Work Breakdown Structure (WBS) to ensure all necessary steps are completed accurately and in a timely manner for IPO projects
• Afford to assist managers to oversee various projects aimed at assisting different departments within the organization to increase operational efficiency and reduce compliance risks. Foster Cross-functional collaboration by effectively communicating project goals, timelines, and deliverables.
• Create and update department standard operating procedures (SOPs)
• Collaborate with Risk Control and Operation teams to monitor potential fraudulent activities and take action to prevent financial loss following firm’s standard operating procedures (SOPs). Maintain effective communication with clients.
• Collaborate with the Compliance team to identify areas for improvement and implement process enhancements to achieve operational efficiency
• Act as a backup person to provide customer service support for email inquiries and assist outbound emails sending on behalf of other departments.
• Act as a backup person to coordinate business account opening process, including following up with applicants, collaborating with Compliance and AML teams, and facilitating application review and approval
• Maintain book and records, ensuring accuracy and completeness of information.

Requirements

• Bilingual English/Chinese proficiency is a plus
• Bachelor’s degree in Business Administration, Finance, Economics, or a related field; advanced degrees or certifications (e.g., CFA) are preferred. A minimum of 2 years of experience in a similar role or a combination of education and relevant experience.
• Active FINRA Series 7, and 63 licenses required and Series 24 preferred
• Excellent organizatioal and time management skills, with the ability to prioritize tasks and meet deadlines and handle multiple projects simultaneously
• Strong communication and interpersonal skills, with the ability to effectively collaborate with different departments and stakeholders
• Attention to detail and strong analytical and problem-solving skills
• Ability to work independently and work in a fast-paced and high-pressure environment

Benefits

• Comprehensive Paid Medical Benefits
• 401k Employer Contribution
• Generous Paid Time Off & Paid Holidays
• Opportunities for Professional Growth & Development
• Performance Based Bonuses