Prime Brokerage Regulatory Specialist

About MoomooMoomoo is a leading innovator in the financial services industry, with two SEC registered broker-dealers and a cryptocurrency brokerage under its wing. Our mission revolves around transforming the investing landscape through a digitized platform that enhances the investment experience. Here's an overview of our key entities: Futu Clearing Inc.: A...

Company OverviewFutu US Inc. is a leading provider of financial services, operating two SEC registered broker-dealers and a cryptocurrency brokerage under the umbrella of Futu Holdings Limited (Nasdaq: FUTU). Our mission focuses on innovating the investing landscape through a digitized brokerage and wealth management platform that elevates the investment...

Job DescriptionAs a Senior Compliance Manager, you will be responsible for ensuring the firm adheres to all regulatory frameworks while managing potential compliance risks in a high-paced trading environment. You will oversee risk management practices within the prime brokerage division, ensuring regulatory limits on leverage, margin requirements, and...

About the Job DescriptionFutu US Inc. is seeking an experienced Senior Compliance Manager to join our FUTU Clearing team. The successful candidate will be responsible for ensuring compliance with FINRA, SEC, and other regulatory requirements related to prime brokerage operations, securities lending, short selling, rehypothecation, client margin and capital...

We are seeking an experienced Senior Compliance Specialist to join our Clearing Division team at Moomoo. As a senior member of our compliance department, you'll be responsible for overseeing and enforcing regulatory compliance across our prime brokerage operations.The estimated salary for this role is $140,000 - $200,000 per year, based on experience.The...

Infotree Global Solutions**Job Overview:**We are seeking a highly organized and analytical Foreign Exchange Prime Brokerage Analyst to join our Middle Office team. This role will involve efficient transaction processing across various products.**Key Responsibilities:**• Participate in client onboarding processes, including user acceptance testing and...

About Our CompanyFutu 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...

About the Role:LanceSoft is seeking an experienced FX Support Specialist to join our operations team in Jersey City, NJ. In this role, you will work closely with internal stakeholders to resolve trade discrepancies, manage trade life cycle events, and coordinate with all internal stakeholders who support our business.The ideal candidate will have a working...

About the RoleJoulé is looking for a highly skilled Regulatory Compliance Specialist to join our team in Jersey City, NJ. As a key member of our quality team, you will be responsible for ensuring product quality and regulatory compliance while fostering continuous improvement across the company.The ideal candidate will have at least 5 years of experience in...

Job Title: IT Regulatory Reporting SpecialistWe are seeking an experienced IT Business Analyst to support our regulatory reporting efforts. The successful candidate will have a strong understanding of regulatory reporting requirements and experience with data analysis and mapping.Key Responsibilities:Analyze data requirements and map them to relevant systems...

Job DescriptionAs a Regulatory Affairs Specialist at Axiom Software Solutions Limited, you will be responsible for ensuring compliance with company Standard Operating Procedures and regulatory agency regulations/guidance.Key Responsibilities:Represent Regulatory Affairs on cross-functional project teams.Provide technical expertise to cross-functional teams...

**Job Description**As a Regulatory Reporting Specialist, you will play a crucial role in providing requirements specifications for new and changes to existing regulatory reporting. You will work closely with the regulatory reporting business unit, application, and reporting teams to ensure seamless coordination.You will be responsible for documenting client...

About the Job Taurus Search is recruiting a Senior Regulatory Reporting Specialist to support our Regulatory Reporting team. As a key member of this team, you will play a critical role in ensuring the accuracy and timeliness of regulatory reports. Your primary responsibilities will include reviewing and reconciling data from group companies/data providers,...

As a Regulatory Reporting Specialist at J and M Group, you will play a key role in ensuring compliance with regulatory requirements and maintaining accurate financial data. Your responsibilities will include designing and implementing data validation checks and reconciliation processes integration, integrating AxiomSL with existing systems and databases...

Job OverviewWe are seeking a highly skilled Customs Brokerage Manager to oversee our brokerage department. As a key member of our team, you will ensure compliance with regulations, provide exceptional customer service, and maintain high standards in operational procedures.Key ResponsibilitiesOversight of the brokerage department to guarantee adherence to...

Job Description:You will work as a Senior Regulatory Affairs Specialist, responsible for designing a compliance program that supports various new products and services. You will proactively identify and address regulatory issues and ensure that regulatory requirements are met. As a key member of the Enterprise Services Compliance team, you will collaborate...

**Job Description:**We are seeking a highly skilled Financial Regulatory Compliance Specialist to join our team at SF Staffing Solutions. As a key member of our Client Onboarding organization, you will specialize in reviewing regulatory documentation, including AML/KYC and Dodd-Frank regulations, to ensure compliance with firm requirements.The ideal...

About the RoleWe are looking for a Regulatory Affairs Specialist to join our investment industry team at Moomoo. In this role, you will be responsible for reviewing internal and external communication materials to identify potential risk points, evaluating and improving departmental policies and procedures, and proposing recommendations to enhance the...

Job OverviewWe are seeking a highly skilled Tax Operations and Regulatory Reporting Specialist to join our team. In this role, you will be responsible for coordinating tax and transaction reporting compliance in a constantly evolving business and regulatory environment.About UsJefferies is a global full-service investment banking and securities firm. Our...

Job Title:AxiomSL Expert Developer and Regulatory Reporting SpecialistWe are seeking an experienced AxiomSL expert developer to join our team. The successful candidate will be responsible for developing and supporting reports in AXIOM V10, working closely with the Finance and Regulatory Reporting Teams.