VP Regulatory Finance - In-Office NJ/TX Reg Reporting Lead

moomoo; Dallas (TX); Sur place; USD 200 000 - 250 000; Plein temps

Avantages offerts par ce poste

Comprehensive medical benefits

401k employer contribution

Generous Paid Time Off & Holidays

Opportunities for professional growth

Résumé du poste

Futu US Inc. is seeking a VP of Regulatory Reporting to lead regulatory reporting, ensuring compliance with SEC, FINRA, CFTC, NFA, and state rules across affiliated U.S. entities.

The role oversees financial reporting frameworks, develops internal controls, and partners with Finance, Compliance, Operations, and Tech to scale processes. The position is based in our in-office locations in Jersey City, NJ or Dallas, TX with no remote option, and involves collaboration during regulatory examinations

Qualifications

• Bachelor's degree in accounting or finance required.
• Active Series 3 and 27 licenses required.
• 5+ years of broker-dealer and FCM FINOP experience.
• Strong Excel skills and attention to detail.

Responsabilités

• Maintain broker-dealer and FCM regulatory compliance.
• Prepare and file FOCUS reports for SEC/FINRA and CFTC/NFA.
• Compute Customer Daily Reserve and Net Capital per rules.
• Coordinate audits and examinations with regulators and external auditors.
• Partner with Finance, Compliance, Operations and Technology teams.
• Support month-end, quarter-end and year-end close processes.

Connaissances

Series 3 license

Series 27 license

Bachelor's degree

Regulatory reporting

Financial analysis

Excel skills

Audit support

Formation

Bachelor's degree in accounting/finance

Outils

Regulatory reporting platforms

Description du poste

Futu US Inc. is seeking a VP of Regulatory Reporting to lead regulatory reporting, ensuring compliance with SEC, FINRA, CFTC, NFA, and state rules across affiliated U.S. entities.

The role oversees financial reporting frameworks, develops internal controls, and partners with Finance, Compliance, Operations, and Tech to scale processes. The position is based in our in-office locations in Jersey City, NJ or Dallas, TX with no remote option, and involves collaboration during regulatory examinations