Director of Regulatory Compliance — FINRA/SEC Expert

Posted yesterday

moomooDallas (TX)

Compliance Managers Investment Banking and Securities Intermediation

SENIORITY

Manager

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About the role

Futu US Inc. in Dallas, TX (or Jersey City, NJ) is seeking a Director of Compliance to lead regulatory examinations, inquiries, and investigations involving FINRA, the SEC, and state regulators. You will apply deep knowledge of broker-dealer clearing, AML, trade surveillance, and regulatory reporting to guide remediation and oversight across a global organization. The role requires strong leadership, exceptional communication, and the ability to coordinate across Compliance, Operations,

Before you apply

Applying takes about a minute. These four things decide how fast it moves after that.

Your profile is current

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Two examples you can talk through

Not a portfolio — just two pieces of work where you can explain the decisions and what you'd change.

A number in mind

What you're on now and what would make you move. We negotiate better when we know both.

Your notice period

Employers plan around it, and it's the question that stalls offers most often.

Once you apply, someone reads it and calls you before anything reaches the employer — usually within two working days.