Head of Regulatory Examinations & Compliance
Job in
Dallas, Dallas County, Texas, 75215, USA
Listed on 2026-07-14
Listing for:
moomoo
Full Time
position Listed on 2026-07-14
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance, Financial Crime
Job Description & How to Apply Below
moomoo is seeking an experienced Compliance professional to lead regulatory examinations and investigations for a FINRA-regulated broker-dealer and clearing firm. This in-office role coordinates responses with cross-functional teams across Compliance, Operations, Technology, Risk, and Finance to ensure timely, accurate actions.
The ideal candidate has extensive experience with broker-dealer clearing operations, trade surveillance, and AML controls, and holds required FINRA licenses.
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