Compliance Associate - Trade Surveillance

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).

• 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.

The Junior Trade Surveillance Analyst/Associate will support our Market Surveillance and Compliance function. This role is responsible for reviewing and escalating potentially manipulative or violative trading activity across multiple asset classes. The ideal candidate will have hands‑on experience using Nasdaq SMARTS and a solid understanding of U.S. securities market structure.

Office

Location:

Jersey City, NJ / Dallas, TX. This role must be based at one of the specified office locations; remote work is not available.

• Conduct daily trade surveillance reviews using Nasdaq SMARTS across:
  • Equities
  • Listed options
  • Crypto‑related products (where applicable)
  • Futures and futures‑related instruments
• Analyze alerts for potential market manipulation, including but not limited to:
  • Spoofing and layering
  • Wash trades
  • Marking the close
  • Front‑running
  • Cross‑product and cross‑market activity
• Perform detailed trade, order, and account‑level reviews to determine whether activity is suspicious or violative.
• Escalate findings to senior surveillance staff and Compliance management with clear, well‑documented summaries.
• Assist with regulatory inquiries, examinations, and requests from FINRA, exchanges, or other regulators.
• Maintain accurate documentation and audit trails in accordance with firm WSPs and regulatory requirements.
• Support ongoing surveillance model tuning, testing, and alert quality reviews.
• Stay current on regulatory developments affecting trade surveillance obligations.

• 2–3 years of trade surveillance experience at a broker‑dealer, clearing firm, exchange, or regulator.
• Direct hands‑on experience with Nasdaq SMARTS (required).
• Experience reviewing trading activity in equities and options (required).
• Exposure to crypto and futures trading surveillance strongly preferred.
• Working knowledge of U.S. market structure.
• FINRA and exchange rules related to market manipulation and abusive trading.
• Strong analytical and investigative skills with attention to detail.
• Ability to clearly document findings and communicate issues verbally and in writing.
• Comfortable working in a regulated, deadline‑driven environment.
• Series 7 and 24 licenses (can be obtained during first 6 months of employment).

• Experience at a FINRA clearing firm or self‑clearing broker‑dealer.
• Familiarity with regulatory referrals, SAR‑supporting reviews, or exam responses.
• Interest in developing deeper expertise in multi‑asset surveillance.

• Bachelor’s degree in finance, economics, business, or a related field (or equivalent experience).

• Comprehensive paid medical benefits for you and your dependents.
• 401(k) employer contribution (match).
• Generous paid time off and paid holidays.
• Opportunities for professional growth and development.
• Performance‑based bonuses.

Base pay: $85,000 – $105,000. This role is also eligible to participate in our discretionary bonus plan.

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 designed to be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job.

Futu Holdings Limited, including all subsidiaries, is an equal‑opportunity employer and all qualified applicants will receive consideration…