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 futuclearing.com or moomoo.com/us to discover the future of investing with confidence and innovation.
Job Summary:
The Senior Compliance Director will support the Chief Compliance Officer (CCO) in implementing, administering, and maintaining the Firm"s compliance program, including risk-based monitoring and testing, regulatory oversight, supervisory controls, and compliance advisory functions. The individual will independently manage assigned Compliance responsibilities, identify and address regulatory risks, support examinations and filings, and partner with business stakeholders to develop practical, risk-based solutions.
The position requires extensive broker-dealer compliance experience, strong knowledge of SEC and FINRA requirements, and the ability to support additional regulatory frameworks, including CFTC, NFA, and applicable state securities and financial services regulations. The successful candidate must be proactive, detail-oriented, and capable of translating complex regulatory requirements into effective policies, procedures, and operational controls.
Essential Responsibilities
- Compliance Monitoring & Testing: Develop, execute, and document risk-based compliance monitoring, testing, and supervisory reviews; assess internal controls, identify deficiencies, recommend corrective actions, and track remediation efforts.
- Policies, Procedures & Disclosures: Develop, review, and maintain Written Supervisory Procedures (WSPs), compliance policies, customer agreements, risk disclosures, fee schedules, and other regulatory documentation to reflect applicable requirements and business practices.
- Regulatory Filings & Registrations: Prepare, review, and administer regulatory filings and registrations, including Forms U4, U5, BD, 7R, 8R, MU2, Form CRS, FINRA Rule 4530 reporting, and other applicable filings; manage regulatory entitlements and registration requirements.
- Regulatory Examinations & Inquiries: Support internal reviews and regulatory examinations conducted by FINRA, SEC, NFA, CFTC, and state regulators, including coordinating information requests, preparing responses, maintaining supporting documentation, and tracking examination findings.
- Employee Compliance Oversight: Administer employee compliance programs, including onboarding and offboarding, personal trading and designated brokerage accounts, outside business activities, private securities transactions, gifts and entertainment, personnel disclosures, annual attestations, and Firm trading windows.
- Communications & Marketing Compliance: Review and monitor employee electronic communications and customer-facing materials, including advertising, website content, Help Center articles, customer service scripts, and other retail communications for regulatory compliance.
- Customer Complaints & Regulatory Reporting: Review and investigate customer complaints, coordinate resolutions and regulatory responses, assess reporting obligations, and escalate material issues as appropriate.
- Annual Compliance Reviews & Training: Support annual supervisory control reviews, branch inspections, compliance certifications, regulatory renewals, and employee training programs, including Firm Element and Regulatory Element continuing education.
- Compliance Systems Administration: Administer and oversee Compliance systems and workflows supporting employee monitoring, communications surveillance, advertising reviews, regulatory filings, and related supervisory controls.
- Regulatory Advisory & Business Initiatives: Provide practical compliance guidance on regulatory requirements, operational issues, new products, business initiatives, and control enhancements, including broker-dealer, futures, and digital asset activities, as applicable.
- Regulatory Developments & Cross-Functional Coordination: Monitor regulatory developments, assess their impact on Firm operations, and collaborate with Legal, Product, Technology, Operations, Finance, and other stakeholders on regulatory implementation, process improvements, system enhancements, and testing.
- Special Projects: Lead or support compliance-related initiatives, investigations, and special projects as assigned by the CCO or senior management.