Job Summary:The Senior Compliance Director will support the Chief Compliance Officer (CCO) in implementing, administering, and maintaining the Firm's compliance program, including risk-based monitoring and testing, regulatory oversight, supervisory controls, and compliance advisory functions. The individual will independently manage assigned Compliance responsibilities, identify and address regulatory risks, support examinations and filings, and partner with business stakeholders to develop practical, risk-based solutions.
The position requires extensive broker-dealer compliance experience, strong knowledge of SEC and FINRA requirements, and the ability to support additional regulatory frameworks, including CFTC, NFA, and applicable state securities and financial services regulations. The successful candidate must be proactive, detail-oriented, and capable of translating complex regulatory requirements into effective policies, procedures, and operational controls.
Essential Responsibilities- Compliance Monitoring & Testing: Develop, execute, and document risk-based compliance monitoring, testing, and supervisory reviews; assess internal controls, identify deficiencies, recommend corrective actions, and track remediation efforts.
- Policies, Procedures & Disclosures: Develop, review, and maintain Written Supervisory Procedures (WSPs), compliance policies, customer agreements, risk disclosures, fee schedules, and other regulatory documentation to reflect applicable requirements and business practices.
- Regulatory Filings & Registrations: Prepare, review, and administer regulatory filings and registrations, including Forms U4, U5, BD, 7R, 8R, MU2, Form CRS, FINRA Rule 4530 reporting, and other applicable filings; manage regulatory entitlements and registration requirements.
- Regulatory Examinations & Inquiries: Support internal reviews and regulatory examinations conducted by FINRA, SEC, NFA, CFTC, and state regulators, including coordinating information requests, preparing responses, maintaining supporting documentation, and tracking examination findings.
- Employee Compliance Oversight: Administer employee compliance programs, including onboarding and offboarding, personal trading and designated brokerage accounts, outside business activities, private securities transactions, gifts and entertainment, personnel disclosures, annual attestations, and Firm trading windows.
- Communications & Marketing Compliance: Review and monitor employee electronic communications and customer-facing materials, including advertising, website content, Help Center articles, customer service scripts, and other retail communications for regulatory compliance.
- Customer Complaints & Regulatory Reporting: Review and investigate customer complaints, coordinate resolutions and regulatory responses, assess reporting obligations, and escalate material issues as appropriate.
- Annual Compliance Reviews & Training: Support annual supervisory control reviews, branch inspections, compliance certifications, regulatory renewals, and employee training programs, including Firm Element and Regulatory Element continuing education.
- Compliance Systems Administration: Administer and oversee Compliance systems and workflows supporting employee monitoring, communications surveillance, advertising reviews, regulatory filings, and related supervisory controls.
- Regulatory Advisory & Business Initiatives: Provide practical compliance guidance on regulatory requirements, operational issues, new products, business initiatives, and control enhancements, including broker-dealer, futures, and digital asset activities, as applicable.
- Regulatory Developments & Cross-Functional Coordination: Monitor regulatory developments, assess their impact on Firm operations, and collaborate with Legal, Product, Technology, Operations, Finance, and other stakeholders on regulatory implementation, process improvements, system enhancements, and testing.
- Special Projects: Lead or support compliance-related initiatives, investigations, and special projects as assigned by the CCO or senior management.
RequirementsRequired- At least eight years of compliance-related experience at a broker-dealer.
- Experience with compliance monitoring, testing, regulatory reviews, or related internal controls.
- Working knowledge of applicable broker-dealer regulatory requirements.
- Strong written and verbal communication skills.
- Ability to work independently, collaborate across functions, and solve problems proactively.
Preferred- Bachelor's degree or equivilent work experience.
- Experience supporting SEC, FINRA, CFTC/NFA, NMLS state examinations.
- Experience preparing regulatory filings and maintaining compliance documentation.
- Experience designing or enhancing monitoring and testing procedures.
- FINRA Gateway proficiency.
- AML/Fraud experience.
- Trade Surveillance experience.
- MCO, Global Relay, Red Oak, experience a plus.
Licenses & Certifications- FINRA Series 7: Required.
- FINRA Series 24: Required.
- FINRA Series 4: may be obtained within four months.
- FINRA Series 3: may be obtained within six months.
- ACAMS: Preferred.
BenefitsWhat We Offer:- Competitive salary and performance-based bonuses.
- Comprehensive benefits package, including health, dental, and retirement plans.
- Opportunities for professional growth and development.
- A dynamic and collaborative work environment.
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
$175,000-$210,000. This role is also eligible to participate in our discretionary bonus plan.
DisclaimerThe 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.
