Director of Regulatory Compliance — FINRA/SEC Expert
Listed on 2026-10-08
-
Management
Regulatory Compliance Specialist, Risk Manager/Analyst -
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance, Financial Crime, Risk Manager/Analyst
Futu US Inc. in Dallas, TX (or Jersey City, NJ) is seeking a Director of Compliance to lead regulatory examinations, inquiries, and investigations involving FINRA, the SEC, and state regulators.
You will apply deep knowledge of broker-dealer clearing, AML, trade surveillance, and regulatory reporting to guide remediation and oversight across a global organization. The role requires strong leadership, exceptional communication, and the ability to coordinate across Compliance, Operations,
Consider building your career as a Director of Regulatory Compliance — FINRA/SEC Expert at moomoo.
The Director of Regulatory Compliance — FINRA/SEC Expert position in the Legal, Management & Operations field is open for applications.
We have an opening for a Director of Regulatory Compliance — FINRA/SEC Expert in Dallas, TX, United States within Legal, Management & Operations.
This role, Director of Regulatory Compliance — FINRA/SEC Expert at moomoo, could be your next opportunity.
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).