Director, Compliance (AML)

Moomoo Inc.; Dallas (TX); On-site; USD 125,000 - 165,000; Full time

Benefits offered by this job

Comprehensive Paid Medical Benefits

401k Employer Contribution

Generous Paid Time Off & Holidays

Opportunities for Professional Growth

Performance Based Bonuses

Job summary

A financial services firm is seeking a Director of AML Compliance to lead a team in monitoring and enforcing anti-money laundering policies. The ideal candidate should have broker-dealer experience, hold a FINRA Series 7 License, and possess strong AML knowledge. You will engage in improving compliance protocols, maintaining regulatory standards, and enhancing AML data systems. The position is based in Dallas, Texas, and offers a competitive salary range of $125,000 - $165,000, along with a comprehensive benefits package.

Qualifications

• 5+ years of significant AML experience within a FINRA-registered broker-dealer.
• In-depth knowledge of current FINRA, SEC, and state regulations.
• Ability to obtain Series 24 license within 4 months of hire.

Responsibilities

• Oversee and manage the firm's AML compliance program.
• Act as a subject-matter expert on AML-related matters.
• Partner with internal teams to implement and refine AML systems.

Skills

Broker-dealer experience

FINRA Series 7 License

Strong background in AML data

Excellent communication skills

Education

Relevant degree in Finance or Compliance

Tools

Actimize

Job description

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:

As the Director/AML Compliance, you will lead a dedicated team responsible for monitoring and enforcing anti‑money laundering policies and procedures. Your leadership will be crucial in ensuring compliance with regulatory requirements and safeguarding the integrity of our financial services. You will work closely with internal and external stakeholders to identify and mitigate risks, providing expert guidance and oversight.

This role must be based at the specified office locations, 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.

Office Location:

Jersey City, NJ

What you do

• Oversee and manage the firm’s AML compliance program in accordance with the Bank Secrecy Act (BSA), USA PATRIOT Act, and applicable FINRA, SEC, and state regulations.
• Act as a subject‑matter expert on all AML‑related matters, including CDD, EDD, transaction monitoring, sanctions screening, and SARs.
• Design, enhance, and optimize AML data flows, reporting, and surveillance processes to improve efficiency and reduce manual review.
• Partner with Technology, Operations, and Data teams to implement and refine AML systems, automation, and controls; Actimize experience is a strong plus.
• Manage AML alerts, investigations, and escalations, ensuring timely and accurate regulatory filings.
• Maintain AML WSPs, risk assessments, and internal controls.
• Monitor regulatory developments and ensure ongoing compliance with FINRA, SEC, and state requirements.
• Prepare for and respond to regulatory exams, audits, and inquiries.
• Influence business decisions by providing risk‑based compliance guidance.
• Build and maintain strong internal and external relationships.
• Provide guidance and training to AML staff and stakeholders.

What you offer

• Required: Broker‑dealer experience, FINRA Series 7 License.
• Required: Series 24 (or ability to obtain within 4 months of hire).
• Significant AML experience within a FINRA‑registered broker‑dealer; clearing firm experience preferred.
• In‑depth knowledge of current FINRA, SEC, state, and related regulations and rules.
• Strong background in AML data, systems, and reporting.
• Familiarity with Actimize or similar platforms preferred.
• Excellent written and verbal communication skills, with the ability to produce clear, concise reports.
• Knowledge of futures and event contracts is a plus.

What We Offer:

• 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.

Base pay for a successful applicant will depend on a variety of job‑related factors, which may include education, training, experience, location, business needs, or market demands. The expected salary range for this role is $125,000 - $165,000. This role is also eligible to participate in our discretionary bonus plan.

Disclaimer

The above information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job.

Futu Holdings Limited, including all subsidiaries, is an equal opportunity employer, and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability status, protected veteran status, or any other characteristic protected by law.

Warning about fake job posts

Please be aware of fraudulent job postings by persons not affiliated with Futu, Moomoo, or their affiliates. Criminals may use fraudulent job postings to obtain your personally identifiable information and/or financial information to steal your identity and/or money.

All communications to you will come from a business email address. We do not hire through text message, social media, or email alone, and any interviews will be conducted in person or through a video call. We will not ask you for bank account information nor ask you to pay anything during the hiring process.

If you see suspicious activity or believe that you have been the victim of a job posting scam, you should report it to your local FBI field office or to the FBI’s Internet Crime Complaint Center.