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moomoo · 1 day ago

Director, Compliance (AML)

Jersey City, NJ

Full-time

Onsite

Senior Level, Lead/Staff

$125K/yr - $165K/yr

Futu US Inc. is at the forefront of financial services, offering innovative brokerage and wealth management solutions. As the Director of AML Compliance, you will lead a team to ensure compliance with anti-money laundering policies and regulations, working closely with stakeholders to mitigate risks and safeguard the integrity of financial services.

Financial ServicesFinTech

Responsibilities

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

Qualification

AML compliance programFINRA regulationsBroker-dealer experienceActimize experienceAML data systemsSeries 7 LicenseSeries 24 LicenseRisk-based compliance guidanceTrainingGuidanceCommunication skills

Required

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

In-depth knowledge of current FINRA, SEC, state, and related regulations and rules

Strong background in AML data, systems, and reporting

Excellent written and verbal communication skills, with the ability to produce clear, concise reports

Preferred

Clearing firm experience preferred

Familiarity with Actimize or similar platforms preferred

Knowledge of futures and event contracts is a plus

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 & Paid Holidays: Take the time you need to recharge and pursue your passions with our generous paid time off policy

Opportunities for Professional Growth & Development: Invest in your future through hands-on learning, skill-building, and cross-functional work

Performance Based Bonuses: Your hard work deserves recognition! Enjoy performance-based bonuses that reward your contributions to our team's success

Company

moomoo

Moomoo is a free-commission online trading platform. With moomoo, you can trade stocks, options, and ETFs without paying any commissions. It is a sub-organization of Futu Holdings.

Founded in 2018