Vice President, Compliance Manager; AML

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 is to innovate the investing landscape through a digitized brokerage and wealth management platform that elevates the investment experience.

As the Vice President of Anti‑Money Laundering (AML) Compliance, you will lead a dedicated team responsible for monitoring and enforcing AML policies and procedures. Your leadership will be crucial to ensuring compliance with regulatory requirements, safeguarding the integrity of our financial services, and working closely with internal and external stakeholders to identify and mitigate risks.

Jersey City, NJ (In‑office only, remote work is not available).

$125,000 – $165,000 per year, commensurate with skills and experience.

• Oversee and manage the firm’s AML compliance program in accordance with the Bank Secrecy Act, 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 with a FINRA Series 7 license (required).
• Series 24 license or ability to obtain within 4 months of hire (required).
• Significant AML experience within a FINRA‑registered broker‑dealer.
• 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.
• Generous paid time off and paid holidays.
• Opportunities for professional growth and development through hands‑on learning and cross‑functional work.
• Performance‑based bonuses.

The above information is intended to indicate the general nature and level of work performed by employees in this classification. It is not a comprehensive inventory of all duties, responsibilities, or qualifications required.

Futu Holdings Limited, including all subsidiaries, is an equal‑opportunity employer. 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.

Please be aware of fraudulent job postings by persons not affiliated with Futu or Moomoo. Criminals may use such postings to obtain personally identifiable or financial information. All legitimate communications will come from a business email address; we do not hire through text message, social media, or email alone, and all interviews are conducted in person or via video call. We will not ask for bank account information or payment during the hiring process.

If suspicious activity is observed, report it to your local FBI field office or the FBI’s Internet Crime Complaint Center.