Hw3 Llc
Get AI-powered advice on this job and more exclusive features.
Principal Research Associate I Banking and Finance (Permanent and contract roles)
About the Role Futu / Moomoo, a leading online brokerage and fintech platform, is seeking an experienced
Compliance Manager Trade Surveillance
to join its Jersey City office. This role is ideal for a compliance professional with strong broker?dealer experience and hands?on knowledge of trade surveillance, regulatory reporting, and supervisory responsibilities. This position reports directly to the
Chief Compliance Officer (CCO)
and plays a key role in ensuring the firms trading activities remain compliant with FINRA and SEC regulations. Key Responsibilities Oversee and perform daily trade surveillance to identify potential market abuse, manipulation, or insider trading. Review and elevate issues related to trade activity, reporting, and exception management. Collaborate with business and operations teams to resolve compliance questions and address regulatory inquiries. Support ongoing enhancements to surveillance systems, alerts, and processes. Assist with AML/KYC oversight and broader compliance monitoring initiatives. Maintain awareness of regulatory developments affecting broker?dealer activities.
Qualifications
Active
FINRA Series 7 and Series 24
licenses ( required ). Broker?dealer compliance
experience in trade surveillance or supervisory roles. Strong understanding of
FINRA, SEC, and AML/KYC
regulatory frameworks. Excellent analytical, communication, and problem?solving skills. Ability to work effectively in a collaborative, fast?paced environment. Base salary:
$120,000$150,000 (commensurate with experience) Annual cash bonus:
~20% target (performance?based) 401(k)
with 3% company contribution PTO:
1522 days (based on level) + NYSE holidays $300 monthly commuter benefit Office-based MondayThursday;
Friday WFH optional
#J-18808-Ljbffr
About the Role Futu / Moomoo, a leading online brokerage and fintech platform, is seeking an experienced
Compliance Manager Trade Surveillance
to join its Jersey City office. This role is ideal for a compliance professional with strong broker?dealer experience and hands?on knowledge of trade surveillance, regulatory reporting, and supervisory responsibilities. This position reports directly to the
Chief Compliance Officer (CCO)
and plays a key role in ensuring the firms trading activities remain compliant with FINRA and SEC regulations. Key Responsibilities Oversee and perform daily trade surveillance to identify potential market abuse, manipulation, or insider trading. Review and elevate issues related to trade activity, reporting, and exception management. Collaborate with business and operations teams to resolve compliance questions and address regulatory inquiries. Support ongoing enhancements to surveillance systems, alerts, and processes. Assist with AML/KYC oversight and broader compliance monitoring initiatives. Maintain awareness of regulatory developments affecting broker?dealer activities.
Qualifications
Active
FINRA Series 7 and Series 24
licenses ( required ). Broker?dealer compliance
experience in trade surveillance or supervisory roles. Strong understanding of
FINRA, SEC, and AML/KYC
regulatory frameworks. Excellent analytical, communication, and problem?solving skills. Ability to work effectively in a collaborative, fast?paced environment. Base salary:
$120,000$150,000 (commensurate with experience) Annual cash bonus:
~20% target (performance?based) 401(k)
with 3% company contribution PTO:
1522 days (based on level) + NYSE holidays $300 monthly commuter benefit Office-based MondayThursday;
Friday WFH optional
#J-18808-Ljbffr