Director, Trade Surveillance & Financial Crimes Compliance

Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage - all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU).

Our core mission revolves around innovating the investing landscape through a digitized brokerage and wealth management platform that"s designed to elevate the investment experience.

Here"s a closer look at our key entities:

• Futu Clearing Inc.: An SEC registered FINRA member dedicated to delivering top-tier clearing and execution services globally.
• Moomoo Financial Inc.: As an SEC registered FINRA member, we provide retail investors access to both U.S. and Asian securities markets, ensuring your investment journey is backed by expertise.
• Moomoo Technology Inc.: Offering a data-rich trading platform, we provide unparalleled insights and tools to enhance your trading strategies. Note that this entity is not a licensed broker-dealer.

For deeper insights into our entities and affiliates, explore futuclearing.com or moomoo.com/us to discover the future of investing with confidence and innovation.

Job Summary

The Director, Trade Surveillance & Financial Crimes Compliance is responsible for leading, overseeing, and continuously enhancing the firm"s Trade Surveillance and AML programs. This role provides strategic and operational leadership over market abuse surveillance, supervisory review, financial crime investigations, transaction monitoring, customer due diligence, regulatory reporting, and program governance.

As the firm"s subject matter expert for Trade Surveillance and AML, this leader is responsible for ensuring the effectiveness of surveillance and AML controls, maintaining compliance with SEC, FINRA, BSA, USA PATRIOT Act, OFAC, and other applicable regulatory requirements, and proactively identifying emerging risks through data analytics, technology, and industry best practices.

The position partners closely with Compliance, Risk, Operations, Legal, Technology, Product, Internal Audit, and executive leadership to strengthen the firm"s compliance framework while supporting continued business growth.