Middle Office & Compliance Operations Specialist

About Futu US Inc. 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. Middle Office Associate Office Location: Dallas, TX About the Team & Role: Middle Office Associate Moomoo Financial Inc is a comprehensive brokerage platform that empowers proactive investors to take control of their financial future with ease and confidence. We integrate professional trading data, global financial news, a trading community, and an innovative web platform to provide users with better data, tools, and performance. Join our dynamic team at Moomoo as our Middle Office Associate, where your passion for finance and technology can thrive. As a Middle Office Associate, your primary responsibilities will include reviewing new account applications and process account maintenance requests, providing operation and risk control support, coordinating projects, and ensuring compliance with regulatory requirements. This role will be responsible for overseeing various projects aimed at increasing operational efficiency and reducing compliance risks within the organization. You will collaborate with different departments, ensuring effective communication of project goals, timelines, and deliverables. Additionally, the Middle Office Associate will backup customer service team and collaborate with the Compliance team to identify areas for improvement and implement process enhancements. What You'll Do: Review new account applications and conduct red flags review. Process account profile update and password reset requests, ensuring accuracy and completeness before processing. Work with Operation team to prepare and send corporate action notices to clients, ensuring accurate and timely communication. Act as a backup person to provide customer service support for email inquiries. Assist outbound emails sending on behalf of other departments. Coordinate the preparation and distribution of outbound group emails at firm level, maintaining professionalism and adherence to company policies. Collaborate with Risk Control and Operation teams to monitor potential fraudulent activities and take action to prevent financial loss following firm’s standard operating procedures (SOPs). Maintain effective communication with clients. Collaborate with the Compliance team to identify areas for improvement and implement process enhancements to achieve operational efficiency Assist managers to oversee various projects aimed at assisting different departments within the organization to increase operational efficiency and reduce compliance risks. Foster Cross‑functional collaboration by effectively communicating project goals, timelines, and deliverables. What You Bring: Bilingual English/Chinese proficiency is a plus Bachelor’s degree in Business Administration, Finance, Economics, or a related field. A minimum of 2 years of experience in a similar role or a combination of education and relevant experience. FINRA Series 7, and 63 licenses preferred Excellent organizational and time management skills, with the ability to prioritize tasks and meet deadlines and handle multiple projects simultaneously Strong communication and interpersonal skills, with the ability to effectively collaborate with different departments and stakeholders Attention to detail and strong analytical and problem‑solving skills Ability to work independently and work in a fast‑paced and high‑pressure environment 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 $50,000 - $65,000 . 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. Futu Holdings Limited, including all subsidiaries, is an equal opportunity employer, and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability status, protected veteran status, or any other characteristic protected by law. #J-18808-Ljbffr