Senior Compliance Director, Broker-Dealer Risk & Oversight

Futu Holdings Limited; Dallas (TX); On-site; USD 175,000 - 210,000; Full time

Benefits offered by this job

Competitive salary and bonuses

Comprehensive benefits package (health

Retirement plans

Job summary

Futu US Inc. seeks a Senior Compliance Director to support the Chief Compliance Officer in implementing, administering, and maintaining the Firm's compliance program.

The role requires extensive broker-dealer compliance experience and strong knowledge of SEC and FINRA requirements, with capacity to support CFTC, NFA, and state regulations. You will manage risk-based monitoring, regulatory filings, examinations, and advisory activities, partnering with stakeholders to implement practical controls

Qualifications

• Eight+ years of compliance experience at a broker-dealer.
• Experience with monitoring, testing, regulatory reviews, and internal controls.
• Knowledge of broker-dealer regulatory requirements (SEC, FINRA, CFTC/NFA).
• Strong written and verbal communication; ability to work cross-functionally.

Responsibilities

• Develop, execute and document risk-based compliance monitoring and testing.
• Prepare regulatory filings and registrations (U4, U5, BD, CRS, FINRA reporting).
• Support regulatory examinations and inquiries with organized documentation.
• Oversee employee compliance programs and communications reviews.
• Provide practical regulatory guidance for new products and initiatives.
• Monitor regulatory developments and coordinate with Legal, Product, Technology and Operations.

Skills

Regulatory compliance

Regulatory monitoring

Writing & communication

Independent work

Education

Bachelor's degree or equivalent

ACAMS certification (preferred)

Tools

FINRA Gateway proficiency

Job description

Futu US Inc. seeks a Senior Compliance Director to support the Chief Compliance Officer in implementing, administering, and maintaining the Firm's compliance program.

The role requires extensive broker-dealer compliance experience and strong knowledge of SEC and FINRA requirements, with capacity to support CFTC, NFA, and state regulations. You will manage risk-based monitoring, regulatory filings, examinations, and advisory activities, partnering with stakeholders to implement practical controls