Director, Compliance (AML)

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.

As the Director/AML Compliance, you will lead a dedicated team responsible for monitoring and enforcing anti-money laundering policies and procedures. Your leadership will be crucial in ensuring compliance with regulatory requirements and safeguarding the integrity of our financial services. You will work closely with internal and external stakeholders to identify and mitigate risks, providing expert guidance and oversight.

This role must be based at the specified office locations, 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

• 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.

What you offer

• Required:
• Significant AML compliance experience within a FINRA-registered broker-dealer; clearing firm experience strongly preferred
• FINRA Series 7 license active at time of hire
• CAMS certification active at time of hire
• Series 24 license active or ability to obtain within 4 months of hire
• In-depth knowledge of BSA/AML requirements, USA PATRIOT Act, FINRA, SEC, state, and related regulatory requirements
• Strong hands-on experience with AML transaction monitoring, investigations, SAR filings, sanctions screening, CDD/EDD, and risk-based escalation processes
• Demonstrated experience managing AML alerts, investigations, surveillance reviews, and regulatory inquiries within broker-dealer or capital markets environments
• Strong background in AML systems, surveillance platforms, data analysis, reporting, and control optimization
• Experience partnering with Technology, Operations, and Data teams to improve AML workflows, automation, and monitoring effectiveness
• Ability to identify control gaps, assess surveillance effectiveness, and implement practical, risk-based solutions
• Excellent written and verbal communication skills, including the ability to prepare clear, defensible investigative and regulatory documentation
• Strongly Preferred:
• Prior experience working at or directly supporting regulatory agencies such as FINRA, SEC, OCC, Federal Reserve, or similar regulatory/enforcement organizations
• Experience working in trading environments, including direct exposure as a trader, trading desk support professional, operations contributor, or surveillance/compliance partner supporting trading activity
• Trade surveillance and market abuse monitoring experience, including suspicious trading activity, spoofing, layering, wash trades, low-priced securities, or market manipulation reviews
• Experience within electronic trading, institutional brokerage, clearing, or fintech brokerage environments
• Hands-on experience with Actimize or comparable AML/trade surveillance platforms
• Experience improving AML surveillance effectiveness through alert tuning, calibration, automation, or workflow optimization