Futures Regulatory Compliance Lead

Futu Holdings Limited; Dallas (TX); Hybrid; USD 135,000 - 165,000; Full time

Benefits offered by this job

Competitive salary

Discretionary bonus

Health, dental, retirement plans

Job summary

Futu US Inc. is seeking a Manager of Futures Regulatory Compliance to lead regulatory inquiries, examinations, licensing and membership initiatives across the firm’s futures activities.

This role requires deep hands-on experience in a regulated derivatives environment with extensive knowledge of CFTC, NFA and exchange requirements. The Manager will coordinate responses, maintain documentation, and collaborate with Compliance, Futures Operations, Risk, Technology, Finance, Legal, AML and business

Qualifications

• 5+ years of relevant compliance, regulatory, or supervisory experience with futures/derivatives
• Hands-on experience with FCMs, futures clearing firms, exchanges, regulators, or similar environments
• Strong knowledge of CFTC, NFA, and futures exchange regulatory requirements
• Experience coordinating regulatory examinations, investigations, audits, or information requests
• Excellent written and verbal communication with senior management and across functions

Responsibilities

• Coordinate regulatory examinations, audits, investigations, and information requests for the futures business
• Lead responses to routine examinations and inquiries, ensuring completeness and timeliness
• Oversee futures clearing/operations compliance, including lifecycle, margins, and customer accounts
• Support surveillance and investigations of potential market misconduct and trading practices
• Collaborate with Compliance, Risk, Technology, Legal, and Operations to implement corrective actions and remediations

Skills

Futures regulatory compliance

CFTC/NFA knowledge

Regulatory examinations coordination

Cross-functional collaboration

Investigations

Job description

Futu US Inc. is seeking a Manager of Futures Regulatory Compliance to lead regulatory inquiries, examinations, licensing and membership initiatives across the firm’s futures activities.

This role requires deep hands-on experience in a regulated derivatives environment with extensive knowledge of CFTC, NFA and exchange requirements. The Manager will coordinate responses, maintain documentation, and collaborate with Compliance, Futures Operations, Risk, Technology, Finance, Legal, AML and business