VP, Regulatory Finance — In-Office Compliance Leader

moomoo; Jersey City (NJ); On-site; USD 200,000 - 250,000; Full time

Benefits offered by this job

Medical benefits

401(k) employer match

Paid time off & holidays

Professional growth & development

Performance-based bonuses

Job summary

Futu US Inc. in Jersey City, NJ seeks a senior VP-level Regulatory Reporting leader to drive SEC/FINRA/CFTC/NFA and state filings across affiliated entities. You’ll oversee net capital, customer reserve computations, and annual examinations, shaping internal controls and audit readiness.

The role collaborates with Finance, Compliance, Operations, and Technology, ensuring regulatory integrity and timely reporting in a fast-paced environment. Office-based, in-office work is required.

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 preferred.
• Strong hands-on experience with: Customer Reserve Computations, Net Capital Calculations, FOCUS Reporting, SEC Rule 15c3‑1/15c3‑3, CFTC regulations.

Responsibilities

• Maintain broker-dealer and FCM regulatory compliance.
• Prepare, review, and file regulatory filings including FOCUS, Customer Daily Reserve Computations, Net Capital Calculations, SSOI/OBS/SIPC filings, MSB/State filings.
• Monitor daily net capital and regulatory thresholds.
• Lead Money Transmission License applications/renewals.
• Support regulatory examinations and audits with FINRA, SEC, CFTC, NFA and external auditors.
• Coordinate month-, quarter-, and year-end close across affiliates; ensure audit readiness.
• Improve accounting, regulatory controls, and ICOC/internal control frameworks.
• Organize financial audits and cross-functional process improvements.
• Manage and train teams as needed.

Skills

Regulatory reporting

FINOP

Broker-dealer knowledge

Advanced Excel

Audit support

Education

Bachelor’s degree in accounting or finance

Tools

FOCUS Reporting

NMLS compliance tools

Regulatory reporting platforms

Job description

Futu US Inc. in Jersey City, NJ seeks a senior VP-level Regulatory Reporting leader to drive SEC/FINRA/CFTC/NFA and state filings across affiliated entities. You’ll oversee net capital, customer reserve computations, and annual examinations, shaping internal controls and audit readiness.

The role collaborates with Finance, Compliance, Operations, and Technology, ensuring regulatory integrity and timely reporting in a fast-paced environment. Office-based, in-office work is required.