About the job
About Futu US Inc.
Futu US Inc. is a leading player in the financial services sector, featuring two SEC-registered broker-dealers and a cryptocurrency brokerage, all operating under the esteemed Futu Holdings Limited (Nasdaq: FUTU). Our mission is to revolutionize the investment landscape through an innovative digitized brokerage and wealth management platform, designed to enhance the investment experience.
Explore our key entities:
- Futu Clearing Inc.: An SEC registered FINRA member providing exceptional clearing and execution services on a global scale.
- Moomoo Financial Inc.: Another SEC registered FINRA member that empowers retail investors with access to both U.S. and Asian securities markets, ensuring expert support for your investment journey.
- Moomoo Technology Inc.: While not a licensed broker-dealer, we offer a robust data-driven trading platform, delivering invaluable insights and tools to refine your trading strategies.
Discover more about our entities and affiliates at futuclearing.com and moomoo.com/us, and step into the future of confident and innovative investing.
About the Team & Role:
The Vice President of Trading Surveillance Compliance will oversee the monitoring, investigation, and escalation of potential market abuses and regulatory breaches across various asset classes. This role is crucial for ensuring compliance with FINRA, SEC, and other relevant regulations, collaborating closely with Compliance, Legal, and Operations teams. The ideal candidate should possess extensive experience in equities, options, and cryptocurrency surveillance, along with strong investigative skills and proficiency in NASDAQ SMARTS.
Office Location: Jersey City, NJ
This position is required to be based in the specified office location in accordance with our in-office work philosophy. Remote work is not an option for this role. For more details about our in-office approach and expectations, please contact the recruiter.

