VP, Regulatory Finance

Futu Holdings Limited; Dallas (TX); On-site; USD 200,000 - 250,000; Full time

Benefits offered by this job

Medical benefits

401(k) match

Paid time off

Job summary

Futu Holdings Limited in the United States seeks a VP of Regulatory Reporting to lead the firm’s regulatory reporting program, ensuring SEC/FINRA/CFTC/NFA compliance and strong internal controls across U.S. entities.

The role partners with Finance, Compliance, Operations, and Tech to maintain audit-ready reporting. The position requires Series 3 and 27 licenses, a BA in accounting/finance, and 5+ years of FINOP/regulatory reporting experience.

Qualifications

• 5+ years of broker-dealer and FINOP regulatory reporting experience.
• Licenses: Series 3 and 27 are required.
• Strong Excel skills with complex reconciliations and analyses.
• Experience supporting FINRA, SEC, NFA, and external audits/examinations.

Responsibilities

• Oversee broker-dealer and FCM regulatory reporting framework.
• Prepare and file FOCUS Reports, Customer Daily Reserve Computations, Net Capital Computations.
• Monitor daily net capital and regulatory thresholds.
• Manage state Money Transmission License applications/renewals.
• Coordinate regulatory examinations and liaise with regulators and auditors.
• Support month-, quarter-, and year-end closes for affiliated entities.

Skills

Excel proficient

Regulatory reporting

Analytical skills

Project management

Education

Bachelor's degree in accounting/finance

Tools

Regulatory reporting platforms

Job description

Futu US Inc. stands at the forefront of financial services, housing two SEC‑registered broker‑dealers alongside a cryptocurrency brokerage—all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU).

Our core mission revolves around innovating the investing landscape through a digitized brokerage and wealth‑management platform designed to elevate the investment experience.

About the role

The VP, Regulatory Reporting will oversee the firm’s regulatory financial reporting framework, support financial operations across affiliated U.S. entities, maintain strong internal controls, and serve as a key partner during regulatory examinations and financial audits. The role requires ensuring compliance with SEC, FINRA, CFTC, NFA, NMLS and state requirements, and applicable financial responsibility rules—including net capital, customer daily reserve computation, daily segregation/secured/swaps computation, FOCUS filings to FINRA and NFA, MSB Call Reporting, and other regulatory reporting requirements. This critical position safeguards the firm’s regulatory standing, financial integrity, and operational resilience.

Office Location: Jersey City, NJ / Dallas, TX. This role must be based in the specified office locations; remote work is not available.

What You’ll Do

• Maintain responsibility for broker‑dealer and FCM financial regulatory compliance.
• Prepare, review, and file all required regulatory filings, including:
  • FOCUS Reports for SEC/FINRA and CFTC/NFA
  • Customer Daily Reserve Computations (Rule 15c3‑3)
  • Net Capital Computations (Rule 15c3‑1) in compliance with SEC and CFTC rules
  • SSOI, OBS, SIPC, and related regulatory filings
  • MSB Call Reporting on NMLS and certain state filings
• Monitor daily net capital to ensure ongoing compliance with regulatory thresholds.
• State Money Transmission License application and renewal.
• Support regulatory examinations and serve as a key contact for FINRA, SEC, CFTC, NFA, and external auditors.
• Support month‑end, quarter‑end, and year‑end close processes for multiple affiliated entities, ensuring reporting accuracy, completeness, and audit readiness.
• Assist with the enhancement and maintenance of accounting, regulatory, and ICOC/internal control frameworks.
• Organize and coordinate all financial audits, including annual audits, state audits, and regulatory financial examinations.
• Partner cross‑functionally with Finance, Compliance, Operations, and Technology teams on process improvements and systems implementations.
• Assist in developing scalable reporting and operational processes to support business growth and regulatory compliance.
• Prepare standard and ad‑hoc financial and operational reporting for management and regulators.
• Maintain and update procedures and controls, including WSP, RCM, and desk‑top procedures.
• Perform additional duties and special projects as assigned.
• Manage and train teams as needed.

What You Bring

• Active Series 3 (National Commodities Futures Examination) & 27 (Financial and Operations Principal) licenses required.
• Bachelor’s degree in accounting, finance, or related discipline required.
• 5+ years of broker‑dealer and FCM FINOP and regulatory reporting experience preferred.
• Strong hands‑on experience with customer reserve computations, net capital calculations, FOCUS reporting for FINRA and FCM, SEC Rules 15c3‑1 and 15c3‑3, CFTC regulations (daily segregation, daily secured, daily swap computation, SIDR filings).
• Strong understanding of broker‑dealer and FCM accounting operations, regulatory controls, and financial reporting requirements.
• Experience supporting FINRA, SEC, NFA, and external audits/examinations.
• Advanced Microsoft Excel skills, including complex reconciliations, formulas, pivots, and financial analysis.
• Ability to manage competing priorities and meet strict regulatory deadlines in a fast‑paced environment.
• Excellent analytical, organizational, and communication skills.
• High attention to detail, accountability, and operational discipline.
• Experience in adopting and utilizing AI tools.
• Data sensitivity and strong capabilities to identify process improvement opportunities and implementation.
• Professional management skills.

Preferred Qualifications

• Experience within a clearing and non‑clearing FCM; profound knowledge in futures business and experience with CME and futures exchanges.
• Experience within an introducing and/or self‑clearing broker‑dealer environment.
• Experience supporting fintech, digital assets, or high‑growth financial services organizations.
• Experience with financial systems implementations, automation initiatives, or regulatory reporting platforms.

What We Offer

• Comprehensive Paid Medical Benefits covering you and your dependents.
• 401(k) Employer Contribution—match contributions to help grow retirement savings.
• Generous Paid Time Off & Paid Holidays for recharging and personal pursuits.
• Opportunities for Professional Growth & Development through hands‑on learning, skill‑building, and cross‑functional work.
• Performance‑Based Bonuses rewarding contributions to team success.

Base pay for this role ranges from $200,000 – $250,000, depending on education, training, experience, location, business needs, and market demands. The role also is eligible to participate in our discretionary bonus plan.

Employment with Futu Holdings Limited, including all subsidiaries, is at‑will. Either the employee or the Company may terminate the relationship at any time, with or without notice and with or without cause, subject to applicable law.

Futu Holdings Limited, including all subsidiaries, is an equal‑opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability status, protected veteran status, or any other characteristic protected by law.