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Regulatory Analyst
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moomoo
About Futu US Inc. is 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 designed to elevate the investment experience. Here’s a closer look at our key entities:
Futu Clearing Inc.: An SEC-registered FINRA member delivering top-tier clearing and execution services globally.
Moomoo Financial Inc.: An SEC-registered FINRA member providing retail investors access to U.S. and Asian securities markets.
Moomoo Technology Inc.: Offering a data-rich trading platform with insights and tools; not a licensed broker-dealer.
Moomoo Crypto
For deeper insights into our entities, explore(url removed) or (url removed)/usto to discover the future of investing with confidence and innovation.
The Role The Regulatory Analyst/Accountant position involves ensuring compliance with financial regulations and standards specific to brokerage operations. The role also supports the finance department with accounting duties such as reconciliations, journal entries, schedules, and ad hoc projects. Responsibilities include interpreting and implementing regulatory requirements from bodies such as the SEC, FINRA, and other relevant regulators. This role involves analyzing brokerage transactions, preparing regulatory filings, and ensuring accurate financial reporting in line with regulatory guidelines. Strong analytical skills, accounting background, regulatory knowledge, attention to detail, and effective communication are essential.
Requirements What you’ll do
Assist team with the Customer Reserve and PAB 15c3-3 computations.
Assist team with Net Capital 15c3-1 calculation and FOCUS reports.
Assist team with all financial related regulatory filings.
Collaborate across multiple departments in the organization.
Assist in the development of financial statements and reports.
Support accounting team with monthly journal entries, bank reconciliations, and period closings.
Assist with various financial and regulatory audits.
Work with internal and external financial and regulatory auditors.
Assist in maintaining and contributing to control processes and procedures.
Assist independent audit processes and FINRA audits.
Ad hoc FINRA Reporting – preparation and analysis.
Cross-department coordination with daily requirements and projects.
Contribute to back-office and system implementation projects.
Performs other related duties as assigned.
Qualifications
Bachelor’s degree in finance, accounting, or similar
Series 27 or ability to obtain within 6 months
2-3 years regulatory reporting experience from a broker-dealer (preferred)
2-3 years experience in CFTC reporting requirements for Futures Commission Merchants (preferred)
2-3 years experience in NMLS reporting related to money transmitter license (preferred)
Benefits What we offer
Paid Medical Benefits
401k Employer Contribution
Paid Holidays
Paid Time Off
Additional Information
Seniority level: Mid-Senior level
Employment type: Full-time
Job function: Finance and Sales
Dallas, TX
Salary range: $60,000.00 - $90,000.00
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Regulatory Analyst
role at
moomoo
About Futu US Inc. is 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 designed to elevate the investment experience. Here’s a closer look at our key entities:
Futu Clearing Inc.: An SEC-registered FINRA member delivering top-tier clearing and execution services globally.
Moomoo Financial Inc.: An SEC-registered FINRA member providing retail investors access to U.S. and Asian securities markets.
Moomoo Technology Inc.: Offering a data-rich trading platform with insights and tools; not a licensed broker-dealer.
Moomoo Crypto
For deeper insights into our entities, explore(url removed) or (url removed)/usto to discover the future of investing with confidence and innovation.
The Role The Regulatory Analyst/Accountant position involves ensuring compliance with financial regulations and standards specific to brokerage operations. The role also supports the finance department with accounting duties such as reconciliations, journal entries, schedules, and ad hoc projects. Responsibilities include interpreting and implementing regulatory requirements from bodies such as the SEC, FINRA, and other relevant regulators. This role involves analyzing brokerage transactions, preparing regulatory filings, and ensuring accurate financial reporting in line with regulatory guidelines. Strong analytical skills, accounting background, regulatory knowledge, attention to detail, and effective communication are essential.
Requirements What you’ll do
Assist team with the Customer Reserve and PAB 15c3-3 computations.
Assist team with Net Capital 15c3-1 calculation and FOCUS reports.
Assist team with all financial related regulatory filings.
Collaborate across multiple departments in the organization.
Assist in the development of financial statements and reports.
Support accounting team with monthly journal entries, bank reconciliations, and period closings.
Assist with various financial and regulatory audits.
Work with internal and external financial and regulatory auditors.
Assist in maintaining and contributing to control processes and procedures.
Assist independent audit processes and FINRA audits.
Ad hoc FINRA Reporting – preparation and analysis.
Cross-department coordination with daily requirements and projects.
Contribute to back-office and system implementation projects.
Performs other related duties as assigned.
Qualifications
Bachelor’s degree in finance, accounting, or similar
Series 27 or ability to obtain within 6 months
2-3 years regulatory reporting experience from a broker-dealer (preferred)
2-3 years experience in CFTC reporting requirements for Futures Commission Merchants (preferred)
2-3 years experience in NMLS reporting related to money transmitter license (preferred)
Benefits What we offer
Paid Medical Benefits
401k Employer Contribution
Paid Holidays
Paid Time Off
Additional Information
Seniority level: Mid-Senior level
Employment type: Full-time
Job function: Finance and Sales
Dallas, TX
Salary range: $60,000.00 - $90,000.00
#J-18808-Ljbffr