Brokerage Operations Associate

About Futu US Inc.

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, explore  or  to discover the future of investing with confidence and innovation.

We are seeking a highly analytical and detail-oriented Broker Dealer Operations Control Associate to join our team. In this role, you will play a critical part in maintaining operational integrity, ensuring compliance with regulatory standards, and mitigating risk within broker-dealer operations. You will collaborate with various teams to oversee trade settlements, reconciliations, regulatory reporting, and internal audits, ensuring seamless day‑to‑day operations.

• Monitor and evaluate broker-dealer operational processes to identify potential risks and ensure compliance with regulatory requirements.
• Conduct trade reconciliations and settlement oversight to maintain accuracy and efficiency.
• Assist with internal audits and regulatory reporting, collaborating with compliance teams to ensure adherence to FINRA, SEC, and other industry regulations.
• Develop and implement operational control procedures to mitigate risk and enhance efficiency.
• Investigate discrepancies, trade breaks, and operational issues, resolving them in a timely manner.
• Work closely with front‑office, back‑office, and compliance teams to optimize operational workflows.
• Maintain up-to-date knowledge of market developments, industry regulations, and operational best practices.

• Bachelor’s degree in Finance, Business, Economics, or a related field.
• 5+ years of experience in broker-dealer operations, risk management, self‑clearing or introducing broker model.
• Strong understanding of FINRA, SEC, and other regulatory guidelines.
• Excellent analytical skills and attention to detail.
• Proficiency in Microsoft Excel, data analytics tools, and trade settlement platforms.
• Strong problem‑solving abilities and ability to work in a fast‑paced environment.
• Effective communication skills and ability to collaborate across teams.

• Comprehensive Paid Medical Benefits: We prioritize your health with a robust medical benefits plan that covers you and your dependents.
• 401k Employer Contribution: We match your contributions to help you grow your retirement savings.
• Generous Paid Time Off & Paid Holidays: Take the time you need to recharge and pursue your passions with our generous paid time off policy.
• Opportunities for Professional Growth & Development: Invest in your future through hands‑on learning, skill‑building, and cross‑functional work.
• Performance Based Bonuses: Your hard work deserves recognition! Enjoy performance‑based bonuses that reward your contributions to our team's success.

Base pay for a successful applicant will depend on a variety of job‑related factors, which may include education, training, experience, location, business needs, or market demands. The expected salary range for this role is $70,000 - $140,000
. This role is also eligible to participate in our discretionary bonus plan.

The above information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a…