Director, Trade Surveillance & Financial Crimes Compliance

moomoo•Dallas, TX

1d•$185,000 - $230,000•Onsite

About The Position

Futu US Inc. is a financial services company with two SEC-registered broker-dealers and a cryptocurrency brokerage, operating under Futu Holdings Limited. The company's mission is to innovate the investing landscape through a digitized brokerage and wealth management platform. Key entities include Futu Clearing Inc. (clearing and execution services), Moomoo Financial Inc. (retail investor access to U.S. and Asian securities markets), and Moomoo Technology Inc. (trading platform with data insights). The Director, Trade Surveillance & Financial Crimes Compliance is responsible for leading and enhancing the firm's Trade Surveillance and AML programs. This role involves strategic and operational leadership in market abuse surveillance, supervisory review, financial crime investigations, transaction monitoring, customer due diligence, regulatory reporting, and program governance. The Director will act as the subject matter expert, ensuring the effectiveness of controls, compliance with regulations (SEC, FINRA, BSA, USA PATRIOT Act, OFAC), and proactive risk identification. This position requires close collaboration with various departments including Compliance, Risk, Operations, Legal, Technology, Product, Internal Audit, and executive leadership to strengthen the compliance framework and support business growth.

Requirements

Bachelor's degree in Finance, Accounting, Business, Economics, Criminal Justice, or related field.
10+ years of progressive experience in Trade Surveillance, Market Abuse Investigations, AML, Financial Crimes, or Regulatory Compliance within a broker-dealer, exchange, regulator, or financial institution.
Demonstrated experience leading Trade Surveillance and AML programs within a FINRA- and SEC-regulated environment.
Deep knowledge of SEC Rules and Regulations, FINRA Rules, Bank Secrecy Act (BSA), USA PATRIOT Act, OFAC, FinCEN Requirements, and Market Abuse and Trade Surveillance practices.
Experience leading regulatory examinations and managing remediation activities.
Strong leadership, investigative, analytical, and communication skills.

Nice To Haves

Experience supporting a self-clearing or introducing broker-dealer.
Experience with retail brokerage platforms and customer trading activity.
Knowledge of options, margin, futures, and digital asset trading.
Experience implementing surveillance technologies, case management systems, and AI-driven monitoring solutions.
Previous regulatory experience with FINRA, SEC, CFTC, NFA, Nasdaq, NYSE, or another exchange.
Experience with Nasdaq SMARTS, NICE Actimize, ACA ComplianceAlpha, Eventus Validus, SteelEye, SQL, Python, Tableau, Power BI, Case Management & AML Monitoring Systems.
FINRA Series 7
FINRA Series 24
CAMS (Certified Anti-Money Laundering Specialist)
CFE (Certified Fraud Examiner)
CFCS (Certified Financial Crime Specialist)

Responsibilities

Lead and oversee the firm's Trade Surveillance and supervisory review programs across equities, options, ETFs, and digital asset products.
Supervise the daily review, investigation, escalation, and resolution of surveillance alerts and exception reports.
Ensure surveillance activities effectively identify and investigate potential market abuse, including Insider Trading, Front Running, Spoofing and Layering, Wash Trading, Cross-Product Manipulation, Marking the Close/Open, Momentum Ignition, Manipulative Trading Practices, Employee Trading Violations, and other prohibited trading activity.
Establish investigation standards, documentation requirements, quality assurance procedures, and supervisory controls.
Oversee case prioritization, assignment, escalation, documentation, and timely resolution.
Ensure surveillance activities satisfy SEC, FINRA, exchange, and internal supervisory obligations.
Evaluate new business initiatives, products, and trading functionality to ensure appropriate surveillance coverage prior to implementation.
Lead and continuously enhance the firm's AML Program, ensuring compliance with the Bank Secrecy Act (BSA), USA PATRIOT Act, FINRA, SEC, FinCEN, and OFAC requirements.
Oversee and strengthen Customer Due Diligence (CDD), Enhanced Due Diligence (EDD), Transaction Monitoring, Ongoing Customer Monitoring, High-Risk Customer Reviews, Suspicious Activity Investigations, Sanctions Screening, OFAC Investigations, and AML Risk Assessments.
Ensure customer risk ratings appropriately reflect evolving risks and regulatory expectations.
Oversee periodic reviews of higher-risk customer relationships and complex onboarding decisions.
Conduct periodic AML program effectiveness reviews and implement enhancements based on emerging risks, regulatory developments, examination findings, and industry best practices.
Partner with Technology and Operations to improve AML systems, monitoring capabilities, automation, and investigative workflows.
Oversee complex Trade Surveillance and AML investigations from initial detection through resolution.
Serve as the primary escalation point for significant market abuse, suspicious activity, sanctions concerns, fraud, and other financial crime matters.
Establish and maintain risk-based escalation protocols to executive leadership, the Chief Compliance Officer, Legal, and regulators when appropriate.
Oversee Suspicious Activity Report (SAR) governance, including investigation, documentation, decision-making, filing, and post-filing monitoring.
Chair or participate in SAR review committees, as applicable.
Ensure regulatory reporting obligations are completed accurately and within required deadlines.
Serve as the primary business owner for Trade Surveillance and AML during SEC, FINRA, state regulatory, and internal examinations.
Coordinate responses to regulatory inquiries, document requests, examinations, and audits.
Lead remediation efforts resulting from regulatory examinations, internal audits, and compliance reviews.
Own and maintain the firm's AML Program, Written Supervisory Procedures (WSPs), surveillance procedures, and related compliance policies.
Monitor regulatory developments and recommend enhancements to policies, procedures, controls, and governance frameworks.
Develop and execute the strategic roadmap for Trade Surveillance and AML program enhancements.
Evaluate emerging regulatory expectations, financial crime risks, market abuse trends, and surveillance technologies.
Improve surveillance effectiveness through ongoing alert calibration, scenario development, data analytics, and automation.
Identify opportunities to leverage artificial intelligence and advanced analytics to strengthen surveillance, investigations, and monitoring.
Develop meaningful management reporting, key risk indicators (KRIs), and program metrics for executive leadership and governance committees.
Lead, mentor, and develop Trade Surveillance and AML personnel while fostering a culture of accountability, collaboration, and continuous improvement.
Partner closely with Compliance, Risk, Operations, Legal, Product, Engineering, Data Analytics, Customer Experience, and Internal Audit.
Provide subject matter expertise for new product launches, strategic initiatives, and regulatory change management.
Promote a proactive compliance culture through collaboration and effective risk management practices.
Develop and deliver Trade Surveillance, Market Abuse, AML, and Financial Crimes training programs for Compliance, Operations, and business personnel.
Ensure annual AML training requirements are completed in accordance with regulatory expectations.
Provide ongoing guidance to business partners regarding emerging regulatory risks and supervisory responsibilities.
Promote a culture of ethical conduct, compliance, and proactive risk identification throughout the organization.