Manager, Futures Regulatory Compliance

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 that's designed to elevate the investment experience.

Here’s a closer look at our key entities:

• Futu Clearing Inc.:
  An SEC registered FINRA member dedicated to delivering top-tier clearing and execution services globally.
• Moomoo Financial Inc.:
  As an SEC registered FINRA member, we provide retail investors access to both U.S. and Asian securities markets, ensuring your investment journey is backed by expertise.
• Moomoo Technology Inc.:
  Offering a data-rich trading platform, we provide unparalleled insights and tools to enhance your trading strategies. Note that this entity is not a licensed broker-dealer.

For deeper insights into our entities and affiliates, explorefutuclearing.comor  discover the future of investing with confidence and innovation.

The Manager, Futures Regulatory Compliance will support the firm’s futures and derivatives compliance program, with primary responsibility for regulatory inquiries, examinations, licensing and membership initiatives, and related compliance coordination.

The successful candidate must possess significant hands-on experience within a futures commission merchant (FCM), futures clearing organization, exchange, regulator, or similarly regulated derivatives environment, with deep knowledge of CFTC, NFA, and applicable exchange requirements.

This role will serve as a key point of contact for matters involving the CFTC, NFA, CME Group, and other applicable futures exchanges and self-regulatory organizations. The Manager will coordinate regulatory responses, support examination readiness, maintain required documentation, and partner with Compliance, Futures Operations, Risk, Technology, Finance, Legal, AML, and business teams to address futures regulatory obligations.

• Serve as a primary Compliance coordinator and subject matter expert for regulatory examinations, audits, investigations, and information requests involving the firm’s futures business, including matters involving the CFTC, NFA, CME Group and other applicable exchanges and regulatory authorities.
• Lead and coordinate responses to routine examinations, investigations, inquiries, targeted reviews, and regulatory information requests involving futures activities.
• Manage regulatory requests involving futures trading, clearing, customer accounts, margin, collateral, segregation, supervisory controls, books and records, and related operational activity.
• Coordinate information gathering across Compliance, Futures Operations, Risk, Technology, Finance, Legal, and business units to ensure complete, accurate, and timely regulatory responses.
• Maintain examination logs, regulatory correspondence, document repositories, response trackers, and supporting records.
• Prepare and coordinate management responses, remediation plans, and corrective action initiatives resulting from regulatory examinations, findings, or identified control deficiencies.
• Conduct and support internal investigations involving potential violations of CFTC, NFA, exchange, or firm requirements.
• Provide regular updates to the Chief Compliance Officer and senior management regarding regulatory matters, examination findings, emerging risks, and remediation efforts.

• Provide compliance oversight, guidance, and regulatory interpretation for the firm’s futures clearing and operational activities.
• Maintain a comprehensive understanding of the futures trade lifecycle, including order entry, execution, clearing, settlement, position management, margin, collateral, and reconciliation processes.
• Provide compliance guidance regarding customer and proprietary futures accounts, margin requirements, position management, account activity, and operational controls.
• Maintain strong knowledge of…