VP, Regulatory Finance

moomoo • Jersey City, NJ

34d • Onsite

About The Position

Futu US Inc. is a financial services company that operates two SEC-registered broker-dealers and a cryptocurrency brokerage under Futu Holdings Limited (Nasdaq: FUTU). The company aims to innovate the investing landscape through a digitized brokerage and wealth management platform. Key entities include Futu Clearing Inc. (SEC registered FINRA member for clearing and execution) and Moomoo Financial Inc. (SEC registered FINRA member providing access to U.S. and Asian securities markets). Moomoo Technology Inc. offers a data-rich trading platform but is not a licensed broker-dealer. The company emphasizes confidence and innovation in investing.

Requirements

• Active Series 3 (National Commodities Futures Examination) & 27 (Financial and Operations Principal) license required.
• Bachelor’s degree in accounting, Finance, or related discipline required.
• 5+ years of broker-dealer and FCM FINOP and regulatory reporting experience preferred.
• Strong hands-on experience with Customer Reserve Computations, Net Capital Calculations, FOCUS Reporting for FINRA and FCM, SEC Rule 15c3-1 and Rule 15c3-3, CFTC Regulations including daily segregation, daily secured, daily swap computation, SIDR filings.
• Strong understanding of broker-dealer and FCM accounting operations, regulatory controls, and financial reporting requirements.
• Experience supporting FINRA, SEC, NFA and external audits/examinations.
• Advanced Microsoft Excel skills, including complex reconciliations, formulas, pivots, and financial analysis.
• Ability to manage competing priorities and meet strict regulatory deadlines in a fast-paced environment.
• Excellent analytical, organizational, and communication skills.
• High attention to detail, accountability, and operational discipline.
• Experience in adopting and utilizing AI tools.
• Data sensitive and strong capabilities to identify process improvements opportunities and implementation.
• Professional management skills.

Nice To Haves

• Experience within a clearing and non-clearing FCM.
• Profound knowledge in futures business and experience with CME and futures exchanges.
• Experience within an introducing and/or self-clearing broker-dealer environment.
• Experience supporting fintech, digital assets, or high-growth financial services organizations.
• Experience with financial systems implementations, automation initiatives, or regulatory reporting platforms.

Responsibilities

• Maintain responsibility for broker-dealer and FCM financial regulatory compliance.
• Prepare, review, and file all required regulatory filings, including: FOCUS Reports for both SEC/FINRA and CFTC/NFA, Customer Daily Reserve Computations (Rule 15c3-3), Net Capital Computations (Rule 15c3-1) to be in compliance with SEC and CFTC rules, SSOI, OBS, SIPC, and related regulatory filings, MSB Call Reporting on NMLS and certain state filings.
• Monitor daily net capital to ensure ongoing compliance with regulatory thresholds.
• State Money Transmission License application and renewal.
• Support regulatory examinations and serve as a key contact for FINRA, SEC, CFTC, NFA and external auditors.
• Support month-end, quarter-end, and year-end close processes for multiple affiliated entities.
• Ensure reporting accuracy, completeness, and audit readiness across financial and regulatory reporting functions.
• Assist with the enhancement and maintenance of accounting, regulatory, and ICOC/internal control frameworks.
• Organize and coordinate all financial audits, including annual audits, state audit and regulatory financial examinations.
• Partner cross-functionally with Finance, Compliance, Operations, and Technology teams on process improvements and systems implementations.
• Assist in developing scalable reporting and operational processes to support business growth and regulatory compliance.
• Prepare standard and ad hoc financial and operational reporting for management and regulators.
• Maintain and updates procedures and controls, including WSP, RCM, desk-top procedures.
• Perform additional duties and special projects as assigned.
• Manage and train teams as needed.

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: Executive