About the job
About Futu US Inc.:
Futu US Inc. is a leader in the financial services sector, comprising two SEC-registered broker-dealers and a cryptocurrency brokerage, all under the esteemed umbrella of Futu Holdings Limited (Nasdaq: FUTU).
Our mission is to revolutionize the investment landscape with a cutting-edge, digitized brokerage and wealth management platform designed to enhance the investment journey for our clients.
Explore our key entities:
- Futu Clearing Inc.: An SEC-registered FINRA member providing premier clearing and execution services worldwide.
- Moomoo Financial Inc.: Another SEC-registered FINRA member, we offer retail investors access to the U.S. and Asian securities markets, ensuring a knowledgeable support system for your investment endeavors.
- Moomoo Technology Inc.: Delivering a data-rich trading platform, we equip traders with exceptional insights and tools to elevate their trading strategies. Please note that this entity is not a licensed broker-dealer.
For more information about our entities and affiliates, visit futuclearing.com or moomoo.com/us to discover a new era of investing with innovation and confidence.
About the Role:
We are in search of a seasoned Operations Director to join our vibrant team within our Broker-Dealer operations. The ideal candidate will be instrumental in ensuring smooth operational workflows, minimizing risks, and upholding compliance with regulatory standards. This role demands a proactive mindset for identifying inefficiencies, instituting controls, and enhancing procedures to optimize operational performance.
Key Responsibilities:
- Operational Oversight: Supervise daily operations, including trade settlements, reconciliations, and financial transactions, ensuring they are accurate and compliant.
- Risk Management: Identify, assess, and mitigate operational risks while developing strategies to enhance controls and reduce errors.
- Regulatory Compliance: Ensure compliance with SEC, FINRA, and other regulatory requirements, maintaining proper documentation and reporting.
- Process Improvement: Evaluate existing workflows, suggest enhancements, and implement automation initiatives to improve efficiency.
- Audit & Internal Controls: Collaborate with internal audit teams to ensure all processes are aligned with industry best practices and regulatory standards.
- Cross-functional Coordination: Work closely with departments such as Clearing, Finance, AML, Compliance, Cash Management, and Stock Transfer to facilitate seamless operations.

