Head, Trade Surveillance & Financial Crimes Compliance

moomoo; Jersey City (NJ); On-site; USD 185,000 - 230,000; Full time

Benefits offered by this job

Competitive salary

Comprehensive benefits (health, dental

retirement plans

Professional growth opportunities

Dynamic, collaborative work culture

Job summary

Futu US Inc. is seeking a Director of Trade Surveillance & Financial Crimes Compliance to lead the firm’s AML and market-surveillance programs, ensuring compliance with SEC, FINRA, BSA, Patriot Act, OFAC, and related laws.

This role collaborates with Compliance, Risk, Operations, Legal, Technology, and Internal Audit to strengthen governance and risk management across the organization. The ideal candidate will have a decade of experience in trade surveillance and financial crimes, with a track

Qualifications

• Bachelor’s degree in finance, accounting, business, economics, criminal justice, or related field.
• 10+ years of progressive experience in Trade Surveillance, AML, or regulatory compliance within FINRA- and SEC-regulated environments.
• Experience leading Trade Surveillance and AML programs with regulatory examinations.
• Strong leadership, analytical, and communication skills.

Responsibilities

• Lead the firm’s Trade Surveillance and AML programs across equities, options, ETFs, and digital assets.
• Oversee investigations, escalation, and regulatory reporting with timely resolution.
• Maintain compliance with SEC, FINRA, BSA, USA PATRIOT Act, OFAC, and related requirements.
• Develop and implement risk-based escalation protocols to executive leadership and regulators.
• Drive continuous program enhancements through analytics, automation, and cross-functional collaboration.

Skills

Leadership

Regulatory compliance

AML investigations

Data analytics

Education

Bachelor’s degree in Finance, Accounting, Business, Economics, Criminal Justice, or related field

Tools

Nasdaq SMARTS

NICE Actimize

ACA ComplianceAlpha

Eventus Validus

SteelEye

SQL

Python

Tableau

Power BI

Case Management Systems

Job description

Futu US Inc. is seeking a Director of Trade Surveillance & Financial Crimes Compliance to lead the firm’s AML and market-surveillance programs, ensuring compliance with SEC, FINRA, BSA, Patriot Act, OFAC, and related laws.

This role collaborates with Compliance, Risk, Operations, Legal, Technology, and Internal Audit to strengthen governance and risk management across the organization. The ideal candidate will have a decade of experience in trade surveillance and financial crimes, with a track