VP, Regulatory Finance

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 designed to elevate the investment experience.

The VP, Regulatory Reporting will oversee the firm’s regulatory financial reporting framework, support financial operations across affiliated U.S. entities, maintain strong internal controls, and serve as a key partner during regulatory examinations and financial audits. The role requires ensuring compliance with SEC, FINRA, CFTC, NFA, NMLS and state requirements, and applicable financial responsibility rules—including net capital, customer daily reserve computation, daily segregation/secured/swaps computation, FOCUS filings to FINRA and NFA, MSB Call Reporting, and other regulatory reporting requirements.

This critical position safeguards the firm’s regulatory standing, financial integrity, and operational resilience.

Office

Location:

Jersey City, NJ / Dallas, TX. This role must be based in the specified office locations; remote work is not available.

• Maintain responsibility for broker‑dealer and FCM financial regulatory compliance.
• Prepare, review, and file all required regulatory filings, including:
  • FOCUS Reports for SEC/FINRA and CFTC/NFA
  • Customer Daily Reserve Computations (Rule 15c3‑3)
  • Net Capital Computations (Rule 15c3‑1) in compliance with SEC and CFTC rules
  • SSOI, OBS, SIPC, and related regulatory filings
  • MSB Call Reporting on NMLS and certain state filings
• Monitor daily net capital to ensure ongoing compliance with regulatory thresholds.
• State Money Transmission License application and renewal.
• Support regulatory examinations and serve as a key contact for FINRA, SEC, CFTC, NFA, and external auditors.
• Support month‑end, quarter‑end, and year‑end close processes for multiple affiliated entities, ensuring reporting accuracy, completeness, and audit readiness.
• Assist with the enhancement and maintenance of accounting, regulatory, and ICOC/internal control frameworks.
• Organize and coordinate all financial audits, including annual audits, state audits, and regulatory financial examinations.
• Partner cross‑functionally with Finance, Compliance, Operations, and Technology teams on process improvements and systems implementations.
• Assist in developing scalable reporting and operational processes to support business growth and regulatory compliance.
• Prepare standard and ad‑hoc financial and operational reporting for management and regulators.
• Maintain and update procedures and controls, including WSP, RCM, and desk‑top procedures.
• Perform additional duties and special projects as assigned.
• Manage and train teams as needed.

• Active Series 3 (National Commodities Futures Examination) & 27 (Financial and Operations Principal) licenses required.
• Bachelor’s degree in accounting, finance, or related discipline required.
• 5+ years of broker‑dealer and FCM FINOP and regulatory reporting experience preferred.
• Strong hands‑on experience with customer reserve computations, net capital calculations, FOCUS reporting for FINRA and FCM, SEC Rules 15c3‑1 and 15c3‑3, CFTC regulations (daily segregation, daily secured, daily swap computation, SIDR filings).
• Strong understanding of broker‑dealer and FCM accounting operations, regulatory controls, and financial reporting requirements.
• Experience supporting FINRA, SEC, NFA, and external audits/examinations.
• Advanced Microsoft Excel skills, including complex reconciliations, formulas, pivots, and financial analysis.
• Ability to manage competing priorities and meet strict regulatory deadlines in a fast‑paced environment.
• Excellent analytical, organizational, and communication skills.
• High attention to detail, accountability, and operational discipline.
• Experience in adopting and utilizing AI tools.
• Data sensitivity and strong capabilities to identify process improvement opportunities and implementation.
• Professional management skills.

• Experience…