Director, Compliance Regulatory

About Futu US Inc.

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 that's designed to elevate the investment experience.

Here's a closer look at our key entities:

• Futu Clearing Inc.: An SEC registered FINRA member dedicated to delivering top-tier clearing and execution services globally.
• Moomoo Financial Inc.: As an SEC registered FINRA member, we provide retail investors access to both U.S. and Asian securities markets, ensuring your investment journey is backed by expertise.
• Moomoo Technology Inc.: Offering a data-rich trading platform, we provide unparalleled insights and tools to enhance your trading strategies. Note that this entity is not a licensed broker-dealer.

For deeper insights into our entities and affiliates, explore  or  to discover the future of investing with confidence and innovation.

Office Location: Dallas, TX or Jersey City, NJ

This role must be based on the office locations specified in the job description, in line with our in-office work philosophy. Remote work is not available for this position. For more details about our in-office approach and expectations, please reach out to the recruiter.

Primary 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 efforts across Compliance, Operations, Technology, Risk, Finance, and business units to ensure timely and accurate responses to regulatory requests.
• 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.