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Regulatory Compliance Director – FINRA/SEC Focus
Job in
Dallas, Dallas County, Texas, 75215, USA
Listed on 2026-08-21
Listing for:
MooMoo
Full Time
position Listed on 2026-08-21
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist -
Law/Legal
Regulatory Compliance Specialist
Job Description & How to Apply Below
Futu US Inc. seeks a Director of Compliance to lead regulatory examinations and investigations across FINRA, the SEC, and state regulators. The role requires deep broker-dealer clearing knowledge and strong AML, surveillance, and reporting capabilities.
The candidate will supervise responses, remediation, and cross-functional collaboration in a global firm with in-office locations in Dallas or Jersey City. Licenses (Series 7/24) and leadership skills are essential.
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