Compliance Associate - Trade Surveillance

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.

The Junior Trade Surveillance Analyst/Associate supports the Market Surveillance and Compliance function. This role reviews and escalates potentially manipulative or violative trading activity across multiple asset classes. Candidates should have hands‑on experience with Nasdaq SMARTS and a solid understanding of U.S. securities market structure.

Jersey City, NJ / Dallas, TX – this position requires in‑office presence; remote work is not available.

• Conduct daily trade surveillance reviews using Nasdaq SMARTS across equities, listed options, crypto‑related products (where applicable), and futures.
• Analyze alerts for potential market manipulation, including spoofing and layering, wash trades, marking the close, front‑running, and cross‑product or 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.

• Required Qualifications:
• 2–3 years of trade surveillance experience at a broker‑dealer, clearing firm, exchange, or regulator.
• Direct hands‑on experience with Nasdaq SMARTS.
• Experience reviewing trading activity in equities and options.
• Exposure to crypto and futures trading surveillance is strongly preferred.
• Working knowledge of U.S. market structure and FINRA/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 within the first 6 months of employment).
• Preferred Attributes:
• 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.
• Education: Bachelor’s degree in finance, economics, business, or related field (or equivalent experience).

• Comprehensive Paid Medical Benefits for you and dependents.
• 401(k) Employer Contribution.
• Generous Paid Time Off & Paid Holidays.
• Opportunities for Professional Growth & Development.
• Performance‑Based Bonuses.

Base pay will range from $85,000 to $105,000, depending on education, training, experience, location, business needs, or market demands. This role is eligible for discretionary bonuses.

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 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. 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, Moomoo, or their affiliates. Criminals may use fraudulent postings to obtain personally identifiable information and/or financial information to steal your identity or money. All 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 or ask you to pay anything during the hiring process. If you encounter suspicious activity or suspect a scam, report it to your local FBI field office or the FBI’s Internet Crime Complaint Center.