Office Location: Dallas, TX or Jersey City, NJ

This role must be based on the office locations specified in the job description, in line with our in-office work philosophy. Remote work is not available for this position. For more details about our in-office approach and expectations, please reach out to the recruiter.

Primary Responsibilities

Regulatory Examinations and Investigations
• Serve as the primary coordinator and project owner for all regulatory examinations, audits, investigations, and information requests from FINRA, the SEC, state regulators, exchanges, and other governmental agencies.
• Lead the firm's responses to routine and cause examinations, investigations, cycle examinations, and regulatory inquiries.
• Coordinate information gathering efforts across Compliance, Operations, Technology, Risk, Finance, and business units to ensure timely and accurate responses to regulatory requests.
• Maintain examination logs, regulatory correspondence, document repositories, and response tracking systems.
• Prepare and coordinate management responses, remediation plans, and corrective action initiatives resulting from examinations or findings.
• Conduct internal investigations involving potential regulatory violations, supervisory concerns, customer complaints, and other compliance matters.
• Provide regular updates to senior management and the Chief Compliance Officer regarding examination status, findings, risks, and remediation efforts.

Clearing Operations Compliance Oversight
• Provide compliance support and guidance across all clearing operations functions.
• Maintain a thorough understanding of clearing and settlement processes, securities movements, securities lending, customer account activity, margin requirements, books and records requirements, and operational controls.
• Assist in the development and enhancement of policies, procedures, and controls designed to mitigate operational and regulatory risks.
• Participate in new product reviews, operational initiatives, and regulatory change management projects impacting clearing activities.

Trade Surveillance and Market Conduct
• Possess and maintain a comprehensive understanding of trade surveillance programs and market conduct requirements.
• Partner with surveillance personnel to evaluate potential trading violations and determine appropriate escalation and reporting actions.
• Support responses to regulatory requests involving trading activity and surveillance inquiries.

Anti-Money Laundering and Financial Crimes Compliance
• Maintain a thorough understanding of Anti-Money Laundering requirements applicable to broker-dealers and clearing firms.
• Support the administration and effectiveness of the firm's AML program, including customer due diligence, transaction monitoring, sanctions compliance, and suspicious activity investigations.
• Assist with AML-related regulatory examinations, requests for information, and remediation efforts.
• Collaborate with AML personnel to identify emerging risks and strengthen financial crime controls.

General Compliance Responsibilities
• Monitor regulatory developments affecting broker-dealer clearing firms and assess their impact on the organization.
• Assist in the development and maintenance of Written Supervisory Procedures and Compliance Policies.
• Participate in risk assessments and control reviews across business and operational functions.
• Support implementation of regulatory initiatives and strategic compliance projects.
• Develop and maintain productive relationships with business leaders, affiliated firms, and control functions.
• Promote a strong culture of compliance and ethical conduct throughout the organization.

Requirements

Qualifications

Required Experience
• Minimum of seven (5) years of compliance experience within a FINRA-regulated broker-dealer, clearing firm, or financial services organization.
• Significant experience managing or coordinating regulatory examinations, investigations, and information requests from FINRA, the SEC, and other regulators.
• Demonstrated knowledge of broker-dealer clearing operations and regulatory requirements applicable to clearing firms.
• Strong knowledge of trade surveillance and market conduct requirements.
• Strong knowledge of Anti-Money Laundering regulations and financial crime controls applicable to broker-dealers.
• Experience working in complex, highly regulated financial services environments.

Licensing Requirement
• FINRA Series 7 License - Required
• FINRA Series 24 License - Required
• FINRA Series 3 License - Preferred
• FINRA Series 4 License - Preferred

Knowledge and Skills
• Comprehensive understanding of broker-dealer clearing operations and related regulatory requirements.
• Working knowledge of SEC and FINRA rules governing broker-dealers and clearing firms.
• Strong project management and organizational skills with the ability to manage multiple regulatory initiatives simultaneously.
• Excellent investigative, analytical, and problem-solving capabilities.
• Exceptional written and verbal communication skills.
• Strong attention to detail and ability to work under tight regulatory deadlines.
• Proficiency in managing large-scale information requests and coordinating cross-functional teams.

Preferred Attributes
• Experience working within multinational financial organizations.
• Familiarity with affiliate clearing arrangements and omnibus clearing environments.
• Demonstrated ability to lead cross-functional projects and influence senior stakeholders.
• Ability to thrive in a fast-paced, highly regulated environment while maintaining a strong control mindset and commitment to regulatory excellence.

Benefits

What We Offer
• Comprehensive Paid Medical Benefits: We prioritize your health with a robust medical benefits plan that covers you and your dependents
• 401k Employer Contribution: We match your contributions to help you grow your retirement savings
• Generous Paid Time Off & Paid Holidays: Take the time you need to recharge and pursue your passions with our generous paid time off policy
• Opportunities for Professional Growth & Development: Invest in your future through hands-on learning, skill-building, and cross-functional work
• Performance Based Bonuses: Your hard work deserves recognition! Enjoy performance-based bonuses that reward your contributions to our team's success

Base pay for a successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected salary range for this role is $190,000 - $230,000. This role is also eligible to participate in our discretionary bonus plan.

Disclaimer

The above information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job.

Employment with Futu Holdings Limited, including all subsidiaries, is on an at-will basis. This means that either the employee or the Company may terminate the employment relationship at any time, with or without notice and with or without cause, subject to applicable law. Nothing in this job posting or description should be construed as creating an express or implied contract of employment or guarantee of employment for any specific duration.

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