Financial Services Expert

3 days ago


Jersey City, New Jersey, United States Futu US, Inc. Full time
About Our Company
Futu US Inc. is a forward-thinking financial services company that houses two SEC registered broker-dealers alongside a cryptocurrency brokerage. 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. We're committed to providing our clients with unparalleled insights and tools to enhance their trading strategies. Our key entities include Futu Clearing Inc., Moomoo Financial Inc., and Moomoo Technology Inc., each playing a crucial role in delivering top-tier clearing and execution services globally.

We're seeking a highly skilled Senior Compliance Manager to join our FUTU Clearing team. As a key member of our team, you'll be responsible for overseeing and enforcing regulatory compliance, ensuring the firm adheres to all regulatory frameworks while managing potential compliance risks. You'll work closely with our trading desk, risk, and operations teams to ensure that trading activities comply with prime brokerage-specific rules such as locate requirements for short selling and other applicable regulations. Additionally, you'll oversee the clearing platform for global prime brokerage, including Regulation SHO compliance and compliance coverage across the enterprise.

This role offers a comprehensive benefits package, including paid medical benefits, 401k employer contribution, generous paid time off, and opportunities for professional growth and development. Base pay for this role is estimated at $140,000 - $175,000, with performance-based bonuses available.

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