Advertising Compliance Analyst

moomoo; Jersey City (NJ); On-site; USD 100,000 - 120,000; Full time

Benefits offered by this job

Medical benefits

401k employer contribution

Paid time off & holidays

Growth opportunities

Performance bonuses

Job summary

Futu US Inc. is seeking a Digital Advertising Compliance Analyst in a role based in Dallas, TX or Jersey City, NJ. You will ensure retail advertising and digital campaigns meet FINRA, SEC, and internal standards.

Responsibilities include review of communications, risk surveillance, and supporting regulatory examinations, with a strong emphasis on regulatory judgment, documentation, and process improvements. Licensing and experience requirements apply.

Qualifications

• Active FINRA Series 7 and Series 24 required at hire; Series 4 preferred.
• 3–5 years of broker-dealer compliance experience, esp. advertising/retail communications.
• Strong knowledge of FINRA Rule 2210 and SEC ad requirements.
• Experience reviewing digital marketing content and disclosures; regulatory decision documentation.

Responsibilities

• Review and approve retail communications, including digital ads and websites.
• Conduct risk-based surveillance of firm communications and social channels.
• Support regulatory examinations and advertising-related record requests.
• Improve advertising review workflows and reporting; collaborate with Marketing, Legal and Product.

Skills

FINRA licenses

Regulatory knowledge

Advertising review

Documentation & records

Prior brokerage compliance

Prior crypto ads

Time management

Tools

Red Oak

Smarsh

Job description

Futu US Inc. is seeking a Digital Advertising Compliance Analyst in a role based in Dallas, TX or Jersey City, NJ. You will ensure retail advertising and digital campaigns meet FINRA, SEC, and internal standards.

Responsibilities include review of communications, risk surveillance, and supporting regulatory examinations, with a strong emphasis on regulatory judgment, documentation, and process improvements. Licensing and experience requirements apply.