Vice President, Trading Surveillance Compliance

Overview

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.

The Vice President, Trading Surveillance will be responsible for monitoring, investigating, and escalating potential market abuse and regulatory violations across multiple asset classes. This role supports the firm's compliance with FINRA, SEC, and other applicable regulatory requirements and works closely with Compliance, Legal, and Operations. The ideal candidate will have deep experience with equities, options, and crypto surveillance, strong investigative skills, and hands-on expertise with NASDAQ SMARTS.

Office

Location:

Jersey City, NJ

This role must be based on the office locations specified in the job description, in line with our in-office work philosophy. Remote work is not available for this position. For more details about our in-office approach and expectations, please reach out to the recruiter.

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 revolves around innovating the investing landscape through a digitized brokerage and wealth management platform that's designed to elevate the investment experience.

• Conduct daily trade surveillance reviews using NASDAQ SMARTS and related systems across:
  Equities;
  Options;
  Digital assets / crypto; (Futures and event contracts experience is a plus)
• Analyze and disposition surveillance 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 in-depth investigations of trading activity, including pattern analysis, account relationships, and order lifecycle reviews
• Prepare, document, and escalate potential regulatory issues in accordance with firm policies and FINRA requirements
• Respond to regulatory inquiries, including: FINRA investigations;
  Blue Sheet (EBS) requests;
  Other regulatory data requests and exams
• Draft investigative summaries, exception reports, and regulatory responses with clear, defensible conclusions
• Coordinate with internal stakeholders (Compliance, Legal, Trading, Operations, Technology) to obtain data, explain findings, and remediate issues
• Assist in enhancing surveillance rules, thresholds, and procedures to address new products, market structures, and regulatory expectations
• Stay current on FINRA, SEC, and market-wide regulatory developments impacting trade surveillance and market abuse

Required Qualifications

• 7+ years of hands-on trade surveillance experience at a FINRA member firm, clearing firm, exchange, or regulator.
• Extensive experience surveilling equities and options; crypto surveillance experience required.
• Strong working knowledge of NASDAQ SMARTS
• Direct experience handling FINRA investigations and Blue Sheet requests
• Solid understanding of U.S. securities market structure and order types
• Series 7 and Series 24 licenses required (active or able to transfer)
• Strong analytical, investigative, and problem-solving skills
• Excellent written and verbal communication skills, including regulatory correspondence
• Ability to work independently in a fast-paced, highly regulated environment

Preferred / Plus Qualifications

• Surveillance experience covering futures and/or event contracts
• Experience at a clearing firm or firms supporting introducing broker-dealers.
• Prior involvement in regulatory exams or enforcement actions

Benefits

• Comprehensive Paid Medical Benefits:
  We prioritize your health with a robust medical benefits plan that covers you and your dependents
• 401k Employer Contribution:
  We match your contributions to help you grow your retirement savings
• Generous Paid Time Off &…