Regulatory Compliance & Examinations Director

Futu Holdings Limited; Dallas (TX); On-site; USD 190,000 - 230,000; Full time

Benefits offered by this job

Medical benefits

401k

Paid time off & holidays

Professional growth opportunities

Performance bonuses

Job summary

Futu US Inc. is seeking an experienced Compliance professional to lead regulatory examinations, investigations, and AML controls for its broker‑dealer and clearing operations in the Dallas, TX or Jersey City, NJ offices.

The role requires coordinating responses to FINRA, SEC, and other regulators, ensuring strong policies, procedures, and governance across the organization. The ideal candidate will bring multi‑year FINRA regulatory experience, licensing credentials, and the ability to manage

Qualifications

• Minimum of five to seven years of compliance experience in FINRA-regulated firms.
• Experience coordinating regulatory examinations and information requests from FINRA, the SEC, and other regulators.
• Strong knowledge of broker-dealer clearing operations and related regulatory requirements.
• Experience with trade surveillance and AML controls in financial services.
• Excellent written and verbal communication skills.

Responsibilities

• Coordinate regulatory examinations, audits, investigations, and information requests from FINRA, the SEC, state regulators, exchanges, and other agencies.
• Lead firm responses to examinations, investigations, and inquiries; coordinate remediation efforts.
• Maintain examination logs, regulatory correspondence, document repositories, and response tracking systems.
• Prepare management updates and corrective action initiatives stemming from examinations.
• Conduct internal investigations into potential regulatory violations and supervisory concerns.
• Provide regular status updates to senior management and the Chief Compliance Officer.

Skills

Regulatory compliance

Project management

Cross-functional collaboration

Regulatory coordination

Attention to detail

Education

FINRA Series 7 License

FINRA Series 24 License

FINRA Series 3 License - Preferred

FINRA Series 4 License - Preferred

Job description

Futu US Inc. is seeking an experienced Compliance professional to lead regulatory examinations, investigations, and AML controls for its broker‑dealer and clearing operations in the Dallas, TX or Jersey City, NJ offices.

The role requires coordinating responses to FINRA, SEC, and other regulators, ensuring strong policies, procedures, and governance across the organization. The ideal candidate will bring multi‑year FINRA regulatory experience, licensing credentials, and the ability to manage