Director of Brokerage Operations

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, explor discover the future of investing with confidence and innovation.

About our role:

We are seeking an experienced Operations Director to join our dynamic team within our Broker-Dealer operations. The ideal candidate will play a pivotal role in ensuring seamless operational processes, mitigating risk, and maintaining compliance with regulatory standards. This position requires a proactive approach to identifying inefficiencies, implementing controls, and optimizing procedures to enhance operational effectiveness.

Key Responsibilities:

• Operational Oversight: Monitor daily operations, trade settlements, reconciliations, and financial transactions to ensure accuracy and compliance.
• Risk Management: Identify, assess, and mitigate operational risks, developing strategies to enhance controls and minimize errors.
• Regulatory Compliance: Ensure adherence to SEC, FINRA, and other regulatory requirements while maintaining proper documentation and reporting.
• Process Improvement: Analyze existing workflows, recommend enhancements, and implement automation initiatives to boost efficiency.
• Audit & Internal Controls: Collaborate with internal audit teams to ensure all processes align with industry best practices and regulatory standards.
• Cross-functional Coordination: Work closely with Clearing, Finance, AML, Compliance, Cash Management and Stock Transfer teams to streamline operations.
• Issue Resolution: Investigate trade discrepancies, reconcile accounts, and resolve escalated operational issues with precision and urgency.

• 10+ years of experience in Operations Control within a Broker-Dealer environment.
• Strong understanding of SEC, FINRA, and regulatory frameworks governing Broker-Dealer operations.
• Expertise in trade reconciliations, risk management, and compliance monitoring.
• Proficiency in industry systems (e.g., DTCC, OCC, Bloomberg, or similar platforms).
• Exceptional analytical and problem-solving skills with attention to detail. Effective communication and collaboration abilities in a fast-paced environment.
• Understanding of an omnibus clearing model

What We Offer:

• 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$90,000 - $125,000. This role is also eligible to participate in our discretionary bonus plan.

Disclaimer:

The above information on this description has been designed to indicate the…