Director, Compliance; AML

Director, Compliance (AML) role at moomoo

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.

• Futu Clearing Inc.:
  An SEC registered FINRA member dedicated to delivering top‑tier clearing and execution services globally.
• Moomoo Financial Inc.:
  An SEC registered FINRA member providing retail investors access to both U.S. and Asian securities markets.
• Moomoo Technology Inc.:
  Offering a data‑rich trading platform; this entity is not a licensed broker‑dealer.

As the Director/AML Compliance, you will lead a dedicated team responsible for monitoring and enforcing anti‑money laundering policies and procedures. Your leadership will be crucial in ensuring compliance with regulatory requirements and safeguarding the integrity of our financial services. You will work closely with internal and external stakeholders to identify and mitigate risks, providing expert guidance and oversight.

This role is based at the specified office location:
Jersey City, NJ
. Remote work is not available.

• Oversee and manage the firm’s AML compliance program in accordance with the Bank Secrecy Act (BSA), USA PATRIOT Act, and applicable FINRA, SEC, and state regulations.
• Act as a subject‑matter expert on all AML‑related matters, including CDD, EDD, transaction monitoring, sanctions screening, and SARs.
• Design, enhance, and optimize AML data flows, reporting, and surveillance processes to improve efficiency and reduce manual review.
• Partner with Technology, Operations, and Data teams to implement and refine AML systems, automation, and controls;
  Actimize experience is a strong plus.
• Manage AML alerts, investigations, and escalations, ensuring timely and accurate regulatory filings.
• Maintain AML WSPs, risk assessments, and internal controls.
• Monitor regulatory developments and ensure ongoing compliance with FINRA, SEC, and state requirements.
• Prepare for and respond to regulatory exams, audits, and inquiries.
• Influence business decisions by providing risk‑based compliance guidance.
• Build and maintain strong internal and external relationships.
• Provide guidance and training to AML staff and stakeholders.

• Broker‑dealer experience, FINRA Series 7 License.
• Series 24 (or ability to obtain within 4 months of hire).
• Significant AML experience within a FINRA‑registered broker‑dealer; clearing firm experience preferred.
• In‑depth knowledge of current FINRA, SEC, state, and related regulations and rules.
• Strong background in AML data, systems, and reporting.
• Familiarity with Actimize or similar platforms preferred.
• Excellent written and verbal communication skills, with the ability to produce clear, concise reports.
• Knowledge of futures and event contracts is a plus.

• Comprehensive paid medical benefits – covering you and your dependents.
• 401(k) employer contribution – matching your contributions to help grow your retirement savings.
• Generous paid time off & paid holidays.
• Opportunities for professional growth & development.
• Performance‑based bonuses.

Base pay for a successful applicant will depend on a variety of factors. Expected salary range: $125,000 – $165,000
. Eligibility for discretionary bonus plan.

EEO Statement

Futu Holdings Limited, including all subsidiaries, is an equal‑opportunity employer, and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability status, protected veteran status, or any other characteristic protected by law.

Disclaimer

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 intended to be a comprehensive inventory of all duties, responsibilities, and qualifications required.

Warning about Fake Job Posts

Please be aware of fraudulent job postings by persons not affiliated with Futu, Moomoo, or their affiliates. Criminals may use fraudulent postings to obtain your personally identifiable information and/or financial information. All official communications will come from a business email address. We do not hire through text message, social media, or email alone, and any interviews will be conducted in person or through a video call.

We will not ask for bank account information nor ask you to pay anything during the hiring process.

If you suspect a scam or have been victim of a job posting scam, report it to your local FBI field office or the FBI’s Internet Crime Complaint Center.