Senior VP, Regulatory Reporting & Financial Integrity

moomoo; New Jersey; On-site; USD 200,000 - 250,000; Full time

Benefits offered by this job

Comprehensive medical benefits

401k plan

Paid time off

Performance-based bonuses

Job summary

Futu US Inc. in Jersey City, NJ, and Dallas, TX, seeks a VP, Regulatory Reporting to lead regulatory finance reporting for SEC, FINRA, CFTC, NFA and state rules. In-office role; remote work is not offered.

You will oversee FOCUS filings, regulatory computations, and audits, ensuring financial integrity and exam readiness. The candidate will collaborate with Finance, Compliance, Operations, and Technology, manage cross-entity reporting, and advance scalable controls to support growth in a

Qualifications

• Active Series 3 and 27 licenses required.
• Bachelor’s degree in accounting, finance, or related discipline.
• 5+ years of broker-dealer and FCM FINOP and regulatory reporting experience.
• Strong hands-on experience with Customer Reserve Computations, Net Capital Calculations, FOCUS Reporting, SEC Rule 15c3-1 and 15c3-3, and CFTC regulations.

Responsibilities

• Maintain broker-dealer and FCM regulatory compliance.
• Prepare, review, and file regulatory filings (FOCUS, Customer Reserve, Net Capital).
• Monitor daily net capital and licensing requirements.
• Support regulatory examinations and audits.
• Coordinate with Finance, Compliance, Operations and Tech on process improvements.

Skills

Regulatory reporting

FINOP experience

Excel proficiency

Regulatory filings

Attention to detail

Audit support

Education

Bachelor's degree in accounting/finance

Tools

FOCUS Reporting

MS Excel

Regulatory reporting platforms

Job description

Futu US Inc. in Jersey City, NJ, and Dallas, TX, seeks a VP, Regulatory Reporting to lead regulatory finance reporting for SEC, FINRA, CFTC, NFA and state rules. In-office role; remote work is not offered.

You will oversee FOCUS filings, regulatory computations, and audits, ensuring financial integrity and exam readiness. The candidate will collaborate with Finance, Compliance, Operations, and Technology, manage cross-entity reporting, and advance scalable controls to support growth in a