Futu Holdings Limited ยท 1 day ago
Vice President, Compliance Manager(AML)
Dallas, TX
Full-time
Onsite
Mid, Senior Level
$125K/yr - $165K/yrFutu US Inc. is a leading financial services company that operates two SEC registered broker-dealers and a cryptocurrency brokerage. The VP/AML Compliance will lead a team to ensure compliance with anti-money laundering regulations, manage the AML compliance program, and collaborate with various stakeholders to mitigate risks.
FinanceFinancial ServicesFinTechOnline AuctionsTrading Platform
Responsibilities
Oversee and manage the firm's AML compliance program in accordance with the Bank Secrecy Act (BSA), USA PATRIOT Act, and applicable FINRA, SEC, and state regulations
Act as a subject-matter expert on all AML-related matters, including CDD, EDD, transaction monitoring, sanctions screening, and SARs
Design, enhance, and optimize AML data flows, reporting, and surveillance processes to improve efficiency and reduce manual review
Partner with Technology, Operations, and Data teams to implement and refine AML systems, automation, and controls; Actimize experience is a strong plus
Manage AML alerts, investigations, and escalations, ensuring timely and accurate regulatory filings
Maintain AML WSPs, risk assessments, and internal controls
Monitor regulatory developments and ensure ongoing compliance with FINRA, SEC, and state requirements
Prepare for and respond to regulatory exams, audits, and inquiries
Influence business decisions by providing risk-based compliance guidance
Build and maintain strong internal and external relationships
Provide guidance and training to AML staff and stakeholders
Qualification
Required
Broker-dealer experience, FINRA Series 7 License
Series 24 (or ability to obtain within 4 months of hire)
Significant AML experience within a FINRA-registered broker-dealer
In-depth knowledge of current FINRA, SEC, state, and related regulations and rules
Strong background in AML data, systems, and reporting
Excellent written and verbal communication skills, with the ability to produce clear, concise reports
Preferred
Familiarity with Actimize or similar platforms
Knowledge of futures and event contracts is a plus
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
Futu Holdings Limited
Futu Holdings Limited (Nasdaq: FUTU) is a leading fintech company committed to transforming the investing experience for investors worldwide.
Founded in 2012
1001-5000 employees
Funding
Current Stage
Late StageTotal Funding
unknown2015-01-01Series Unknown
Recent News
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2025-09-23
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