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moomoo · 3 hours ago

Vice President, Trading Surveillance Compliance

Jersey City, NJ

Full-time

Onsite

Mid, Senior Level

$115K/yr - $165K/yr

7+ years exp

Futu US Inc. is a leading financial services company that operates SEC registered broker-dealers and a cryptocurrency brokerage. The Vice President, Trading Surveillance will oversee the monitoring and investigation of potential market abuse and regulatory violations, ensuring compliance with FINRA and SEC regulations.

Financial ServicesFinTech

Responsibilities

Conduct daily trade surveillance reviews using NASDAQ SMARTS and related systems across:

Analyze and disposition surveillance alerts for potential market manipulation, including but not limited to:

Perform in-depth investigations of trading activity, including pattern analysis, account relationships, and order lifecycle reviews

Prepare, document, and escalate potential regulatory issues in accordance with firm policies and FINRA requirements

Respond to regulatory inquiries, including:

Draft investigative summaries, exception reports, and regulatory responses with clear, defensible conclusions

Coordinate with internal stakeholders (Compliance, Legal, Trading, Operations, Technology) to obtain data, explain findings, and remediate issues

Assist in enhancing surveillance rules, thresholds, and procedures to address new products, market structures, and regulatory expectations

Stay current on FINRA, SEC, and market-wide regulatory developments impacting trade surveillance and market abuse

Qualification

Trade surveillance experienceNASDAQ SMARTSEquitiesOptionsCrypto surveillanceFINRA investigationsBlue Sheet requestsU.S. securities market structureAnalytical skillsInvestigative skillsProblem-solving skillsCommunication skillsWork independently

Required

7+ years of hands-on trade surveillance experience at a FINRA member firm, clearing firm, exchange, or regulator

Extensive experience surveilling equities and options; crypto surveillance experience required

Strong working knowledge of NASDAQ SMARTS

Direct experience handling FINRA investigations and Blue Sheet requests

Solid understanding of U.S. securities market structure and order types

Series 7 and Series 24 licenses required (active or able to transfer)

Strong analytical, investigative, and problem-solving skills

Excellent written and verbal communication skills, including regulatory correspondence

Ability to work independently in a fast-paced, highly regulated environment

Preferred

Surveillance experience covering futures and/or event contracts

Experience at a clearing firm or firms supporting introducing broker-dealers

Prior involvement in regulatory exams or enforcement actions

Benefits

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

Company

moomoo

Moomoo is a free-commission online trading platform. With moomoo, you can trade stocks, options, and ETFs without paying any commissions. It is a sub-organization of Futu Holdings.

Founded in 2018

Palo Alto, California, USA

1001-5000 employees