Vice President, Trading Surveillance Compliance
2 weeks ago
Vice President, Trading SurveillanceFutu 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.The Vice President, Trading Surveillance will be responsible for monitoring, investigating, and escalating potential market abuse and regulatory violations across multiple asset classes. This role supports the firm's compliance with FINRA, SEC, and other applicable regulatory requirements and works closely with Compliance, Legal, and Operations. The ideal candidate will have deep experience with equities, options, and crypto surveillance, strong investigative skills, and hands-on expertise with NASDAQ SMARTS.Office Location: Jersey City, NJThis 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.
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Vice President, Trade Surveillance
2 weeks ago
Jersey City, United States JPMorgan Chase & Co. Full timeA multinational financial services company seeks a Surveillance Lead Vice President to oversee trading activities in derivatives and ensure compliance with market regulations. This role requires a Bachelor's Degree and over 3 years of relevant experience in Trade Surveillance or related fields. You will analyze trading and market activities and work closely...
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Vice President, Trade Surveillance
2 days ago
Jersey City, United States JPMorgan Chase & Co. Full timeA multinational financial services company seeks a Surveillance Lead Vice President to oversee trading activities in derivatives and ensure compliance with market regulations. This role requires a Bachelor's Degree and over 3 years of relevant experience in Trade Surveillance or related fields. You will analyze trading and market activities and work closely...
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Jersey City, United States JPMorgan Chase & Co. Full timeBring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks and using your expert judgement to solve real-world challenges that impact our company, customers, and...
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Jersey City, United States JPMorgan Chase & Co. Full timeBring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks and using your expert judgement to solve real-world challenges that impact our company, customers, and...
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Jersey City, New Jersey, United States JPMorganChase Full timeDescriptionBring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks and using your expert judgement to solve real-world challenges that impact our company, customers,...
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Jersey City, United States moomoo Full timeOverviewFutu 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...
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Vice President, Trading Surveillance Compliance
4 weeks ago
Jersey City, United States moomoo Full timeAbout 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...
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Vice President, Trading Surveillance Compliance
3 weeks ago
Jersey City, United States Moomoo Full timeAbout 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...
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Vice President, Trading Surveillance Compliance
3 weeks ago
Jersey City, United States moomoo Full timeAbout 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...
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Jersey City, United States moomoo Full timeOverview 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...
