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VP, Regulatory Finance

Salary$200k – $250k

LocationDallas, Texas, United States

Work modeon-site

Typefull-time

DepartmentGlobal Branches

Company size1,001–5,000 people

First seen1w ago

Last seen2d ago

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 role

The VP, Regulatory Reporting is responsible for ensuring compliance with SEC, FINRA, CFTC, NFA, NMLS and state requirement, and applicable financial responsibility rules, including net capital, customer daily reserve computation, daily segregation/secured/swaps computation, FOCUS filings to FINRA and NFA, MSB Call Reporting and regulatory reporting requirements.

The VP, Regulatory Reporting will oversee the firm’s regulatory financial reporting framework, support financial operations across affiliated U.S. entities, maintain strong internal controls, and serve as a key partner during regulatory examinations and financial audits. This individual plays a critical role in safeguarding the firm’s regulatory standing, financial integrity, and operational resilience.

Office Location: Jersey City, NJ/Dallas, TX

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’ll Do

• Maintain responsibility for broker-dealer and FCM financial regulatory compliance.

• Prepare, review, and file all required regulatory filings, including:

￮ FOCUS Reports for both SEC/FINRA and CFTC/NFA

￮ Customer Daily Reserve Computations (Rule 15c3-3)

￮ Net Capital Computations (Rule 15c3-1) to be in compliance with SEC and CFTC rules

￮ SSOI, OBS, SIPC, and related regulatory filings

￮ MSB Call Reporting on NMLS and certain state filings

• Monitor daily net capital to ensure ongoing compliance with regulatory thresholds.

• State Money Transmission License application and renewal

• Support regulatory examinations and serve as a key contact for FINRA, SEC, CFTC, NFA and external auditors.

• Support month-end, quarter-end, and year-end close processes for multiple affiliated entities. Ensure reporting accuracy, completeness, and audit readiness across financial and regulatory reporting functions.

• Assist with the enhancement and maintenance of accounting, regulatory, and ICOC/internal control frameworks.

• Organize and coordinate all financial audits, including annual audits, state audit and regulatory financial examinations.

• Partner cross-functionally with Finance, Compliance, Operations, and Technology teams on process improvements and systems implementations.

• Assist in developing scalable reporting and operational processes to support business growth and regulatory compliance.

• Prepare standard and ad hoc financial and operational reporting for management and regulators.

• Maintain and updates procedures and controls, including WSP, RCM, desk-top procedures.

• Perform additional duties and special projects as assigned.

• Manage and train teams as needed.

Requirements

What You Bring

• Active Series 3 (National Commodities Futures Examination) & 27 (Financial and Operations Principal) license required.

• Bachelor’s degree in accounting, Finance, or related discipline required.

• 5+ years of broker-dealer and FCM FINOP and regulatory reporting experience preferred.

• Strong hands-on experience with:

￮ Customer Reserve Computations

￮ Net Capital Calculations

￮ FOCUS Reporting for FINRA and FCM

￮ SEC Rule 15c3-1 and Rule 15c3-3

￮ CFTC Regulations including daily segregation, daily secured, daily swap computation, SIDR filings

• Strong understanding of broker-dealer and FCM accounting operations, regulatory controls, and financial reporting requirements.

• Experience supporting FINRA, SEC, SEC, NFA and external audits/examinations.

• Advanced Microsoft Excel skills, including complex reconciliations, formulas, pivots, and financial analysis.

• Ability to manage competing priorities and meet strict regulatory deadlines in a fast-paced environment.

• Excellent analytical, organizational, and communication skills.

• High attention to detail, accountability, and operational discipline.

• Experience in adopting and utilizing AI tools;

• Data sensitive and strong capabilities to identify process improvements opportunities and implementation;

• Professional management skills.

Preferred Qualifications

• Experience within a clearing and non-clearing FCM. Profound knowledge in futures business and experience with CME and futures exchanges

• Experience within an introducing and/or self-clearing broker-dealer environment.

• Experience supporting fintech, digital assets, or high-growth financial services organizations.

• Experience with financial systems implementations, automation initiatives, or regulatory reporting platforms.

Benefits

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 $200,000 - $250,000. 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.

Employment with Futu Holdings Limited, including all subsidiaries, is on an at-will basis. This means that either the employee or the Company may terminate the employment relationship at any time, with or without notice and with or without cause, subject to applicable law. Nothing in this job posting or description should be construed as creating an express or implied contract of employment or guarantee of employment for any specific duration.

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.

Warning about fake job posts

Please be aware of fraudulent job postings by persons not affiliated with Futu, Moomoo, or their affiliates. Criminals may use fraudulent job postings to obtain your personally identifiable information and/or financial information to steal your identity and/or money.

All communications to you will come from a business email address. We do not hire through text message, social media, or email alone, and any interviews will be conducted in person or through a video call. We will not ask you for bank account information nor ask you to pay anything during the hiring process.

If you see suspicious activity or believe that you have been the victim of a job posting scam, you should report it to your local FBI field office or to the FBI’s Internet Crime Complaint Center.

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