Trade Surveillance Compliance Manager
About The Position
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.
Requirements
- Bachelor’s degree preferred, or equivalent combination of education, training, and experience
- FINRA Series 7 & 24 required (Series 4 preferred; will be required within 90 days of starting position)
- 3-5 years of industry experience
- Strong interpersonal and written communication skills
- Highly motivated with capability to work with minimum supervision
- Must be a team player, willing to collaborate
- Ability to prioritize and multitask effectively under pressure and excellent organizational and time management skills are essential
Responsibilities
- Conduct investigations into new accounts and trading as per MFI’s procedures
- Assist in implementing AML/KYC risk assessments and review processes for high-risk clients
- Participate in all regulatory and compliance related projects
- Lead team in trade surveillance of all trading and products
- Utilize provided tools on a daily basis to ensure no “bad actors” are trading in MCI systems/accounts
- Report and/or act on any deviation in trading that might be or is a regulatory concern
- Assist in registration and management of FINRA Gateway
- Perform reviews of email and other electronic communications
- Perform reviews of outside business activities
- Perform reviews of outside trading accounts
- Assist in the review process of marketing materials
- Review PerformLine data and issues and resolve
- Review Red Oak requirements for the Business Development team. Ensure they are completed.
- Perform reviews of marketing team submitted materials
- Review Social Media Posts in Smarsh
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
Manager
