Director, Compliance (AML)
About The Position
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: As the Director/AML Compliance, you will lead a dedicated team responsible for monitoring and enforcing anti-money laundering policies and procedures. Your leadership will be crucial in ensuring compliance with regulatory requirements and safeguarding the integrity of our financial services. You will work closely with internal and external stakeholders to identify and mitigate risks, providing expert guidance and oversight. This role must be based at the specified office locations, 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. 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
- Broker-dealer experience, FINRA Series 7 License.
- Series 24 (or ability to obtain within 4 months of hire).
- Significant AML experience within a FINRA-registered broker-dealer; clearing firm experience preferred.
- In-depth knowledge of current FINRA, SEC, state, and related regulations and rules.
- Strong background in AML data, systems, and reporting.
- Excellent written and verbal communication skills, with the ability to produce clear, concise reports.
Nice To Haves
- Familiarity with Actimize or similar platforms preferred.
- Knowledge of futures and event contracts is a plus.
Responsibilities
- Oversee and manage the firm’s AML compliance program in accordance with the Bank Secrecy Act (BSA), USA PATRIOT Act, and applicable FINRA, SEC, and state regulations.
- Act as a subject-matter expert on all AML-related matters, including CDD, EDD, transaction monitoring, sanctions screening, and SARs.
- Design, enhance, and optimize AML data flows, reporting, and surveillance processes to improve efficiency and reduce manual review.
- Partner with Technology, Operations, and Data teams to implement and refine AML systems, automation, and controls; Actimize experience is a strong plus.
- Manage AML alerts, investigations, and escalations, ensuring timely and accurate regulatory filings.
- Maintain AML WSPs, risk assessments, and internal controls.
- Monitor regulatory developments and ensure ongoing compliance with FINRA, SEC, and state requirements.
- Prepare for and respond to regulatory exams, audits, and inquiries.
- Influence business decisions by providing risk-based compliance guidance.
- Build and maintain strong internal and external relationships.
- Provide guidance and training to AML staff and stakeholders.
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
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What This Job Offers
Job Type
Full-time
Career Level
Director
Education Level
No Education Listed
