VP, Regulatory Finance & Reporting

moomoo; Dallas (TX); On-site; USD 200,000 - 250,000; Full time

Benefits offered by this job

401k Employer Contribution

Comprehensive Medical Benefits

Paid Time Off & Holidays

Professional Growth & Development

Discretionary Bonus

Job summary

Futu US Inc. is seeking a VP of Regulatory Reporting to lead regulatory financial reporting for U.S. entities. This role ensures compliance with SEC, FINRA, CFTC, NFA, and state rules, overseeing FOCUS filings, capital computations, and audits.

You will partner with Finance, Compliance, Operations, and Technology to strengthen controls, support examinations, and drive scalable reporting across Jersey City and Dallas offices. Office-based, remote work not offered.

Qualifications

• Active Series 3 license required.
• Series 27 license required.
• Bachelor's degree in accounting, finance, or related discipline.
• 5+ years broker-dealer and FINOP 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 responsibility for broker-dealer and FCM financial regulatory compliance.
• Prepare, review, and file required regulatory filings (FOCUS, Customer Daily Reserve, Net Capital computations, SSOI/OBS/SIPC and MSB reporting).
• Monitor daily net capital and regulatory thresholds.
• Manage state Money Transmission License applications/renewals.
• Support regulatory examinations and audits with external bodies.
• Assist month/quarter/year-end close for affiliated entities and ensure audit readiness.
• Develop scalable reporting processes with Finance/Compliance/Operations/Tech.

Skills

Series 3 license

Series 27 license

Bachelor's in accounting/finance

5+ years broker-dealer FINOP

FOCUS reporting

Net capital calculations

CFTC/SEC regulatory know‑how

Advanced Excel

Regulatory audits support

Education

Bachelor's degree in accounting or finance

Tools

Microsoft Excel

Regulatory reporting platforms

Job description

Futu US Inc. is seeking a VP of Regulatory Reporting to lead regulatory financial reporting for U.S. entities. This role ensures compliance with SEC, FINRA, CFTC, NFA, and state rules, overseeing FOCUS filings, capital computations, and audits.

You will partner with Finance, Compliance, Operations, and Technology to strengthen controls, support examinations, and drive scalable reporting across Jersey City and Dallas offices. Office-based, remote work not offered.