Vice President, Trading Surveillance Compliance

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.

The Vice President, Trading Surveillance will be responsible for monitoring, investigating, and escalating potential market abuse and regulatory violations across multiple asset classes. This role supports the firm’s compliance with FINRA, SEC, and other applicable regulatory requirements and works closely with Compliance, Legal, and Operations. The ideal candidate will have deep experience with equities, options, and crypto surveillance, strong investigative skills, and hands-on expertise with NASDAQ SMARTS.

What you do

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

• Equities
• Options
• Digital assets / crypto
• Futures and event contracts (preferred)

Analyze and disposition surveillance alerts related to potential market manipulation and abusive trading practices, including:

• Spoofing and layering
• Wash trading
• Marking the close
• Front-running
• Momentum ignition
• Cross-product and cross-market manipulation
• Cross-venue futures activity
• Calendar spread abuse

Perform complex investigations involving:

• Trading pattern analysis
• Account relationship reviews
• Order lifecycle analysis
• Cross-product linkage analysis across equities, options, futures, and crypto products

Review and interpret futures surveillance data, including CME market data and related trading activity.

Prepare investigative findings, escalation memos, exception reports, and regulatory responses with clear and defensible conclusions.

Respond to regulatory inquiries and examinations, including:

• FINRA investigations
• Electronic Blue Sheet (EBS) requests
• NFA examinations and inquiries
• Other regulatory requests and audits

Partner with Compliance, Legal, Trading, Operations, and Technology teams to obtain data, communicate findings, and support remediation efforts.

Assist in the enhancement of surveillance rules, thresholds, procedures, and controls to address evolving market structure, products, and regulatory expectations.

Stay current on FINRA, SEC, CFTC, NFA, and broader regulatory developments impacting market abuse and trade surveillance.

What you offer

• 7+ years of hands-on trade surveillance experience at a FINRA member firm, clearing firm, exchange, regulator, or similar financial institution.
• Extensive surveillance experience covering:
• Equities
• Options
• Digital assets / crypto
• Strong knowledge of market abuse detection and surveillance methodologies across multiple asset classes.
• Experience using NASDAQ SMARTS and other surveillance technologies such as OneTick, Eventus, or OMS-related platforms.
• Direct experience managing:
• FINRA investigations
• Electronic Blue Sheet (EBS) requests
• NFA or other regulatory inquiries
• Strong understanding of U.S. securities and futures market structure, including:
• CME/ICE exchange environments
• Globex trading behavior
• Position limits and account aggregation
• Give-ups, block trades, and EFRPs
• FCM/IB relationships

Series 7, Series 3, and Series 24 licenses (active or eligible for transfer).

Strong analytical, investigative, written, and verbal communication skills.

Ability to operate independently in a fast-paced and highly regulated environment.

• Futures and NFA-related surveillance experience.
• Experience at a clearing firm or organizations supporting introducing broker-dealers.
• Prior involvement in regulatory examinations, enforcement matters, or remediation initiatives.
• Familiarity with:
• CFTC and NFA regulatory frameworks
• Large trader reporting
• Futures recordkeeping requirements
• Audit trail and supervisory expectations