Director of Brokerage Operations

Operations Director

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 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.