VP, Regulatory Reporting & Financial Compliance

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 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.