Vice President, Trading Surveillance Compliance

moomoo • Jersey City, NJ

2d • $115,000 - $165,000 • Onsite

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: The Vice President, Trading Surveillance will be responsible for monitoring, investigating, and escalating potential market abuse and regulatory violations across multiple asset classes. This role supports the firm’s compliance with FINRA, SEC, and other applicable regulatory requirements and works closely with Compliance, Legal, and Operations. The ideal candidate will have deep experience with equities, options, and crypto surveillance, strong investigative skills, and hands-on expertise with NASDAQ SMARTS. 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

• 7+ years of hands-on trade surveillance experience at a FINRA member firm, clearing firm, exchange, or regulator.
• Extensive experience surveilling equities and options; crypto surveillance experience required.
• Strong working knowledge of NASDAQ SMARTS .
• Direct experience handling FINRA investigations and Blue Sheet requests .
• Solid understanding of U.S. securities market structure and order types .
• Series 7 and Series 24 licenses required (active or able to transfer).
• Strong analytical, investigative, and problem-solving skills.
• Excellent written and verbal communication skills, including regulatory correspondence.
• Ability to work independently in a fast-paced, highly regulated environment.

Nice To Haves

• Surveillance experience covering futures and/or event contracts .
• Experience at a clearing firm or firms supporting introducing broker-dealers.
• Prior involvement in regulatory exams or enforcement actions.

Responsibilities

• Conduct daily trade surveillance reviews using NASDAQ SMARTS and related systems across: Equities Options Digital assets / crypto (Futures and event contracts experience is a plus)
• Analyze and disposition surveillance alerts for potential market manipulation, including but not limited to: Spoofing and layering Wash trades Marking the close Front-running Cross-product and cross-market activity
• Perform in-depth investigations of trading activity, including pattern analysis, account relationships, and order lifecycle reviews.
• Prepare, document, and escalate potential regulatory issues in accordance with firm policies and FINRA requirements.
• Respond to regulatory inquiries, including: FINRA investigations Blue Sheet (EBS) requests Other regulatory data requests and exams
• Draft investigative summaries, exception reports, and regulatory responses with clear, defensible conclusions.
• Coordinate with internal stakeholders (Compliance, Legal, Trading, Operations, Technology) to obtain data, explain findings, and remediate issues.
• Assist in enhancing surveillance rules, thresholds, and procedures to address new products, market structures, and regulatory expectations.
• Stay current on FINRA, SEC, and market-wide regulatory developments impacting trade surveillance and market abuse.

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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed