VP, Regulatory Finance & Reporting

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

Benefits offered by this job

Comprehensive medical benefits

401(k) employer contribution

Generous paid time off

Performance-based bonuses

Job summary

Futu US Inc. in Jersey City, NJ, seeks a VP, Regulatory Reporting to ensure SEC, FINRA, CFTC, NFA and state filings across affiliated U.S. entities. You will oversee the regulatory financial reporting framework, maintain internal controls, and support audits to safeguard regulatory standing.

You will partner with Finance, Compliance, Operations, and Technology to enhance processes, implement scalable reporting, and coordinate examinations. Office-based role with no remote work.

Qualifications

• Active Series 3 (National Commodities Futures) license and Series 27 license required.
• Bachelor’s degree in accounting, finance, or related discipline.
• 5+ years in broker-dealer and FCM FINOP and regulatory reporting.
• Experience with net capital, customer reserve computations, and FOCUS reporting.
• Knowledge of SEC Rule 15c3‑1 and Rule 15c3‑3 and CFTC regulations.
• Experience supporting FINRA, SEC, NFA audits and examinations.

Responsibilities

• Maintain broker-dealer and FCM regulatory compliance responsibilities.
• Prepare and file FOCUS, net capital, and customer reserve computations.
• Monitor daily net capital and ensure regulatory thresholds are met.
• Coordinate regulatory examinations and external audits.
• Collaborate with Finance, Compliance, Operations, and Tech on process improvements.
• Develop scalable reporting processes for regulatory needs.
• Lead and train teams as needed.

Skills

Series 3 license

Series 27 license

Regulatory reporting

Regulatory audits

Excel advanced

Financial controls

Attention to detail

Project management

Education

Bachelor's degree in accounting

Finance or related field

Tools

Microsoft Excel

Job description

Futu US Inc. in Jersey City, NJ, seeks a VP, Regulatory Reporting to ensure SEC, FINRA, CFTC, NFA and state filings across affiliated U.S. entities. You will oversee the regulatory financial reporting framework, maintain internal controls, and support audits to safeguard regulatory standing.

You will partner with Finance, Compliance, Operations, and Technology to enhance processes, implement scalable reporting, and coordinate examinations. Office-based role with no remote work.