Manager, General Compliance

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 futuclearing.com or moomoo.com/us to discover the future of investing with confidence and innovation.

About the Team & Role:

The General Compliance Manager will support our Market Surveillance and Compliance function. This role is responsible for reviewing and escalating potentially manipulative or violative trading activity across multiple asset classes. The ideal candidate will have hands-on experience using Nasdaq SMARTS and a solid understanding of U.S. securities market structure.

Office Location: 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.

Requirements

What you do

• Conduct investigations into new accounts and trading as per MFI’s procedures
• Assist in implementing AML/KYC risk assessments and review processes for high-risk clients
• Participate in all regulatory and compliance related projects
• Lead team in trade surveillance of all trading and products
• Utilize provided tools on a daily basis to ensure no “bad actors” are trading in MCI systems/accounts
• Report and/or act on any deviation in trading that might be or is a regulatory concern
• Assist in registration and management of FINRA Gateway
• Perform reviews of email and other electronic communications
• Perform reviews of outside business activities
• Perform reviews of outside trading accounts
• Assist in the review process of marketing materials
• Review PerformLine data and issues and resolve
• Review Red Oak requirements for the Business Development team. Ensure they are completed.
• Perform reviews of marketing team submitted materials
• Review Social Media Posts in Smarsh

What you offer

• Bachelor’s degree preferred, or equivalent combination of education, training, and experience
• FINRA Series 7 & 24 required (Series 4 preferred; will be required within 90 days of starting position)
• 3-5 years of industry experience
• Must be fluent in English
• Strong interpersonal and written communication skills
• Highly motivated with capability to work with minimum supervision
• Must be a team player, willing to collaborate
• Ability to prioritize and multitask effectively under pressure and excellent organizational and time management skills are essential

Benefits

• Comprehensive Paid Medical Benefits: We prioritize your health with a robust medical benefits plan that covers you and your dependents
• 401k Employer Contribution: We match your contributions to help you grow your retirement savings
• Generous Paid Time Off & Paid Holidays: Take the time you need to recharge and pursue your passions with our generous paid time off policy
• Opportunities for Professional Growth & Development: Invest in your future through hands-on learning, skill-building, and cross-functional work
• Performance Based Bonuses: Your hard work deserves recognition! Enjoy performance-based bonuses that reward your contributions to our team's success

Base pay for a successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected salary range for this role is $105,000 - $140,000 . This role is also eligible to participate in our discretionary bonus plan.

Disclaimer:

The above information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job.

Futu Holdings Limited, including all subsidiaries, is an equal opportunity employer, and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability status, protected veteran status, or any other characteristic protected by law.

Warning about fake job posts :

Please be aware of fraudulent job postings by persons not affiliated with Futu, Moomoo, or their affiliates. Criminals may use fraudulent job postings to obtain your personally identifiable information and/or financial information to steal your identity and/or money.

All communications to you will come from a business email address. We do not hire through text message, social media, or email alone, and any interviews will be conducted in person or through a video call. We will not ask you for bank account information nor ask you to pay anything during the hiring process. 

If you see suspicious activity or believe that you have been the victim of a job posting scam, you should report it to your local FBI field office or to the FBI’s Internet Crime Complaint Center.