Digital Advertising Compliance Analyst — FINRA/SEC

moomoo; Dallas (TX); On-site; USD 90,000 - 130,000; Full time

Job summary

Futu US Inc. is seeking a Digital Advertising Compliance Analyst in Dallas, TX or Jersey City, NJ.

You will ensure that retail advertising, digital campaigns, and public communications comply with FINRA, SEC, and internal standards, working with Marketing and Legal. The role requires active FINRA Series 7 and 24 licenses (Series 4 preferred; must be obtained within 6 months) and 3–5 years of broker-dealer compliance experience in advertising or retail communications, with strong regulatory

Qualifications

• 3–5 years of broker-dealer compliance experience focused on advertising or retail communications.
• Strong knowledge of FINRA Rule 2210 and SEC communications requirements.
• Active FINRA Series 7 and Series 24 licenses at hire; Series 4 preferred (to be obtained within 6 months).

Responsibilities

• Review and approve retail communications and digital ads within authority, ensuring regulatory compliance.
• conduct surveillance of firm-sponsored digital content and monitor for violations.
• Support FINRA, SEC, state and internal regulatory examinations and record requests.
• Drive process improvements to workflows and reporting using relevant platforms.

Skills

Regulatory review

Social media surveillance

Advertising compliance

Risk assessment

Process improvement

Tools

Red Oak

Smarsh

Job description

Futu US Inc. is seeking a Digital Advertising Compliance Analyst in Dallas, TX or Jersey City, NJ.

You will ensure that retail advertising, digital campaigns, and public communications comply with FINRA, SEC, and internal standards, working with Marketing and Legal. The role requires active FINRA Series 7 and 24 licenses (Series 4 preferred; must be obtained within 6 months) and 3–5 years of broker-dealer compliance experience in advertising or retail communications, with strong regulatory