Middle Office Specialist

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  or  to discover the future of investing with confidence and innovation.

Middle Office Specialist

Office Location: Dallas, TX

About the Team & Role: Middle Office Associate

Moomoo Financial Inc is a comprehensive brokerage platform that empowers proactive investors to take control of their financial future with ease and confidence. We integrate professional trading data, global financial news, a trading community, and an innovative web platform to provide users with better data, tools, and performance.

Join our dynamic team at Moomoo as our Middle Office Specialist, where your passion for finance and technology can thrive. As a Middle Office Specialist, your primary responsibilities will include reviewing and conducting quality assurance check on new account applications, account maintenance, operation and risk control support, coordinating projects, and ensuring compliance with regulatory requirements. This role will be responsible for overseeing various projects aimed at increasing operational efficiency and reducing compliance risks within the organization. You will collaborate with different departments, ensuring effective communication of project goals, timelines, and deliverables. Additionally, the Middle Office Specialist will backup customer service team and collaborate with the Compliance team to identify areas for improvement and implement process enhancements.

What You'll Do:

• Assist managers to update current new account policy and procedures and new account associates hiring.  
• Provide training and assessment to application review team. Conduct quality assurance checks on processed new account applications and profile update to ensure compliance with regulations and internal policies. Backup reviewing new account applications, account profile update and ensure accuracy and completeness before processing. 
• Prepare and send corporate action notices to clients, ensuring accurate and timely communication.
• Coordinate the preparation and distribution of outbound group emails at firm level, maintaining professionalism and adherence to company policies.
• Follow a Work Breakdown Structure (WBS) to ensure all necessary steps are completed accurately and in a timely manner for IPO projects
• Assist managers to oversee various projects aimed at assisting different departments within the organization to increase operational efficiency and reduce compliance risks. Foster Cross-functional collaboration by effectively communicating project goals, timelines, and deliverables.
• Assist managers in creating and updating department standard operating procedures (SOPs)
• Collaborate with Risk Control and Operation teams to monitor potential fraudulent activities and take action to prevent financial loss following firm's standard operating procedures (SOPs). Maintain effective communication with clients.
• Collaborate with the Compliance team to identify areas for improvement and implement process enhancements to achieve operational efficiency
• Act as a backup person to provide customer service support for email inquiries and assist outbound emails sending on behalf of other departments.
• Act as a backup person to coordinate business account opening process, including following up with applicants, collaborating with Compliance and AML teams, and facilitating application review and approval
• Maintain book and records, ensuring accuracy and completeness of information.

What You Bring:

• Bilingual English/Chinese proficiency required
• Bachelor's degree in Business Administration, Finance, Economics, or a related field; advanced degrees or certifications (e.g., CFA) are preferred. A minimum of 2 years of experience in a similar role or a combination of education and relevant experience.
• Active FINRA Series 7, and 63 licenses required and Series 24 preferred
• Excellent organizatioal and time management skills, with the ability to prioritize tasks and meet deadlines and handle multiple projects simultaneously
• Strong communication and interpersonal skills, with the ability to effectively collaborate with different departments and stakeholders
• Attention to detail and strong analytical and problem-solving skills
• Ability to work independently and work in a fast-paced and high-pressure environment

What We Offer:

• 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 $60,000 - $75,000. 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.