Strategic Compliance Director - Broker-Dealer Risk

Moomoo; Dallas (TX); Vor Ort; USD 175.000 - 210.000; Vollzeit

Benefits dieser Stelle

Competitive salary

Performance-based bonuses

Comprehensive benefits (health, dental

Retirement plans

Professional growth opportunities

Dynamic and collaborative environment

Zusammenfassung

Moomoo is seeking a Senior Compliance Director to support the CCO in implementing and maintaining the Firm's compliance program, including risk-based monitoring and regulatory oversight. The role requires broker-dealer experience and extensive knowledge of SEC and FINRA rules, with the ability to develop practical policies and controls.

The candidate will handle regulatory filings, examinations, and training, collaborating across Legal, Product, Technology, and Operations to implement changes

Qualifikationen

• Eight years of compliance experience at a broker-dealer.
• Strong knowledge of SEC and FINRA requirements.
• Excellent written and verbal communication.
• Ability to translate regulatory requirements into policies and controls.

Aufgaben

• Develop, implement, and maintain risk-based compliance monitoring and testing.
• Prepare regulatory filings and registrations; manage entitlements.
• Support examinations by FINRA, SEC, NFA, CFTC and state regulators.
• Administer employee compliance programs and training.
• Review advertising, website content, and customer communications for compliance.

Kenntnisse

Compliance Monitoring

Regulatory Oversight

Policy Development

Regulatory Filings

Communication Skills

Independent Working

Cross-Functional Collaboration

Broker-Dealer Knowledge

Ausbildung

Bachelor's degree

Tools

FINRA Gateway

Jobbeschreibung

Moomoo is seeking a Senior Compliance Director to support the CCO in implementing and maintaining the Firm's compliance program, including risk-based monitoring and regulatory oversight. The role requires broker-dealer experience and extensive knowledge of SEC and FINRA rules, with the ability to develop practical policies and controls.

The candidate will handle regulatory filings, examinations, and training, collaborating across Legal, Product, Technology, and Operations to implement changes