Futu US Inc. is hiring a Vice President, Trading Surveillance Compliance to manage the monitoring, investigation, and escalation of potential market abuse and regulatory violations. You will ensure compliance with FINRA and SEC requirements while collaborating closely with Compliance, Legal, and Operations teams to safeguard the firm's trading activities.
What You'll Do
- Conduct daily trade surveillance reviews using NASDAQ SMARTS across equities, options, and digital assets/crypto.
- Analyze and disposition surveillance alerts for potential market manipulation including spoofing, layering, wash trades, marking the close, and front-running.
- Perform in-depth investigations of trading activity, including pattern analysis, account relationships, and order lifecycle reviews.
- Prepare, document, and escalate potential regulatory issues in line with firm policies and FINRA requirements.
- Respond to regulatory inquiries including FINRA investigations, Blue Sheet (EBS) requests, and other regulatory data requests.
- Draft investigative summaries, exception reports, and regulatory responses with clear, defensible conclusions.
- Coordinate with internal stakeholders (Compliance, Legal, Trading, Operations, Technology) to obtain data, explain findings, and remediate issues.
- Assist in enhancing surveillance rules, thresholds, and procedures to address new products, market structures, and regulatory expectations.
- Stay current on FINRA, SEC, and market-wide regulatory developments impacting trade surveillance.
What We're Looking For
- 7+ years of hands-on trade surveillance experience at a FINRA member firm, clearing firm, exchange, or regulator.
- Extensive experience surveilling equities and options; crypto surveillance experience is required.
- Strong working knowledge of NASDAQ SMARTS.
- Direct experience handling FINRA investigations and Blue Sheet requests.
- Solid understanding of U.S. securities market structure and order types.
- Series 7 and Series 24 licenses required (active or able to transfer).
- Strong analytical, investigative, and problem-solving skills.
- Excellent written and verbal communication skills, including regulatory correspondence.
- Ability to work independently in a fast-paced, highly regulated environment.
Nice to Have
- Surveillance experience covering futures and/or event contracts.
- Experience at a clearing firm or firms supporting introducing broker-dealers.
- Prior involvement in regulatory exams or enforcement actions.
Technical Stack
- NASDAQ SMARTS
Team & Environment
Works closely with Compliance, Legal, and Operations.
Benefits & Compensation
- Compensation: $115,000 - $165,000
- Comprehensive Paid Medical Benefits covering employee and dependents
- 401k Employer Contribution matching
- Generous Paid Time Off & Paid Holidays
- Opportunities for Professional Growth & Development
- Performance Based Bonuses
Work Mode
This is an onsite role based in Jersey City, NJ.
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.
