Manager, General Compliance job opportunity at Moomoo.

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Date2025-07-15T13:28:56.914Z bot
Moomoo Manager, General Compliance
Experience: 5-years
Pattern: Full-time
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General Compliance

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loacation Jersey City, United States Of America
loacation Jersey City....United States Of America

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. About the Team & Role: The General Compliance Manager will support our Market Surveillance and Compliance function. This role is responsible for reviewing and escalating potentially manipulative or violative trading activity across multiple asset classes. The ideal candidate will have hands-on experience using Nasdaq SMARTS and a solid understanding of U.S. securities market structure. 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. What you do Conduct investigations into new accounts and trading as per MFI’s procedures Assist in implementing AML/KYC risk assessments and review processes for high-risk clients Participate in all regulatory and compliance related projects Lead team in trade surveillance of all trading and products Utilize provided tools on a daily basis to ensure no “bad actors” are trading in MCI systems/accounts Report and/or act on any deviation in trading that might be or is a regulatory concern Assist in registration and management of FINRA Gateway Perform reviews of email and other electronic communications Perform reviews of outside business activities Perform reviews of outside trading accounts Assist in the review process of marketing materials Review PerformLine data and issues and resolve Review Red Oak requirements for the Business Development team. Ensure they are completed. Perform reviews of marketing team submitted materials Review Social Media Posts in Smarsh What you offer Bachelor’s degree preferred, or equivalent combination of education, training, and experience FINRA Series 7 & 24 required (Series 4 preferred; will be required within 90 days of starting position) 3-5 years of industry experience Must be fluent in English Strong interpersonal and written communication skills Highly motivated with capability to work with minimum supervision Must be a team player, willing to collaborate Ability to prioritize and multitask effectively under pressure and excellent organizational and time management skills are essential

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