Director of Regulatory Compliance & Examinations
Job in
Dallas, Dallas County, Texas, 75215, USA
Listed on 2026-08-08
Listing for:
moomoo
Full Time
position Listed on 2026-08-08
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance, Financial Crime
Job Description & How to Apply Below
Futu US Inc. is seeking a Director of Compliance to lead regulatory examinations, investigations, and surveillance across FINRA, the SEC, and state regulators. You will manage clearing operations compliance, AML controls, and reporting for a global broker-dealer network.
You will partner with Risk, Finance, IT, and Operations to build effective controls, respond to regulator requests, and drive remediation efforts while reporting to senior leadership.
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