Senior Compliance Director, Broker-Dealer Regulation

moomoo; Texas; On-site; USD 175,000 - 210,000; Full time

Benefits offered by this job

Competitive salary

Performance-based bonuses

Health, dental, and retirement plans

Job summary

Futu US Inc. seeks a Senior Compliance Director to support the Chief Compliance Officer in implementing and maintaining the Firm's compliance program, including risk-based monitoring, regulatory oversight, and advisory functions.

The role requires extensive broker-dealer compliance experience and deep SEC/FINRA knowledge. You will independently manage assigned compliance responsibilities, address regulatory risks, support examinations, and partner with business stakeholders to craft practical,

Qualifications

• Eight years of compliance experience at a broker-dealer.
• Experience with monitoring, testing, regulatory reviews, and internal controls.
• Working knowledge of SEC, FINRA, CFTC/NFA, and state examinations.
• Strong written and verbal communication skills.
• Ability to work independently and collaborate across functions.

Responsibilities

• Develop, document and execute risk-based compliance monitoring and testing.
• Maintain WSPs, policies, procedures and disclosures.
• Prepare regulatory filings including Forms U4, U5, BD, 7R, 8R, MU2 and CRS.
• Support regulatory examinations and inquiries with regulators.
• Oversee employee compliance programs and training.
• Review advertising, website content and customer communications for regulatory compliance.
• Investigate customer complaints and coordinate regulatory responses.
• Lead annual supervision reviews, branch inspections and training programs.
• Administer compliance systems and workflows for monitoring and reporting.
• Provide guidance on broker-dealer, futures and digital asset activities.
• Monitor regulatory developments and coordinate with cross-functional teams.
• Lead special projects for the CCO and senior management.

Skills

Compliance monitoring

Regulatory knowledge

Communication skills

Independent work

Education

Bachelor's degree

Tools

FINRA Gateway

Regulatory filing systems

Job description

Futu US Inc. seeks a Senior Compliance Director to support the Chief Compliance Officer in implementing and maintaining the Firm's compliance program, including risk-based monitoring, regulatory oversight, and advisory functions.

The role requires extensive broker-dealer compliance experience and deep SEC/FINRA knowledge. You will independently manage assigned compliance responsibilities, address regulatory risks, support examinations, and partner with business stakeholders to craft practical,