Vice President, Trading Surveillance Compliance
MooMoo
Vice President, Trading Surveillance
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.
The Vice President, Trading Surveillance will be responsible for monitoring, investigating, and escalating potential market abuse and regulatory violations across multiple asset classes. This role supports the firm's compliance with FINRA, SEC, and other applicable regulatory requirements and works closely with Compliance, Legal, and Operations. The ideal candidate will have deep experience with equities, options, and crypto surveillance, strong investigative skills, and hands-on expertise with NASDAQ SMARTS.
Office Location: 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.
Vacancy posted 4 days ago
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