Manager, Futures Regulatory Compliance

Moomoo Inc.; Jersey City (NJ); On-site; USD 120,000 - 180,000; Full time

Job summary

Futu US Inc. seeks a Manager, Futures Regulatory Compliance to support the firm’s futures and derivatives compliance program, handling regulatory inquiries, examinations, licensing and membership initiatives, and related coordination.

The role requires deep knowledge of CFTC, NFA, and exchange requirements and hands-on experience in regulated derivatives environments. The Manager will serve as a key contact for CFTC, NFA, CME Group and other exchanges, coordinating responses and ensuring

Qualifications

• Hands-on experience in futures/derivatives regulation (FCM, NFA, exchanges) and knowledge of CFTC requirements.

Responsibilities

• Coordinate regulatory examinations, audits, investigations, and information requests for the futures business.
• Lead responses to examinations, inquiries, and targeted reviews.
• Manage regulatory requests related to futures trading, clearing, margins, collateral, and records.
• Coordinate information gathering across Compliance, Futures Operations, Risk, Technology.

Job description

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, explorefutuclearing.comor moomoo.com/usto discover the future of investing with confidence and innovation.

Job Summary

The Manager, Futures Regulatory Compliance will support the firm’s futures and derivatives compliance program, with primary responsibility for regulatory inquiries, examinations, licensing and membership initiatives, and related compliance coordination.

The successful candidate must possess significant hands‑on experience within a futures commission merchant (FCM), futures clearing organization, exchange, regulator, or similarly regulated derivatives environment, with deep knowledge of CFTC, NFA, and applicable exchange requirements.

This role will serve as a key point of contact for matters involving the CFTC, NFA, CME Group, and other applicable futures exchanges and self‑regulatory organizations. The Manager will coordinate regulatory responses, support examination readiness, maintain required documentation, and partner with Compliance, Futures Operations, Risk, Technology, Finance, Legal, AML, and business teams to address futures regulatory obligations.

Key Responsibilities:

Futures Regulatory Examinations and Investigations

• Serve as a primary Compliance coordinator and subject matter expert for regulatory examinations, audits, investigations, and information requests involving the firm’s futures business, including matters involving the CFTC, NFA, CME Group and other applicable exchanges and regulatory authorities.
• Lead and coordinate responses to routine examinations, investigations, inquiries, targeted reviews, and regulatory information requests involving futures activities.
• Manage regulatory requests involving futures trading, clearing, customer accounts, margin, collateral, segregation, supervisory controls, books and records, and related operational activity.
• Coordinate information gathering across Compliance, Futures Operations, Risk, Technology