Vice President, Trading Surveillance Compliance
moomoo
Vice President, Trading Surveillance Compliance
moomoo
Global investing platform offering data tools
moomoo · Jersey City, United States · Full-time · Posted 2026-01-14
Salary: USD 120,000–160,000
Workplace: on_site
Department: Compliance Team
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.
Here's a closer look at our key entities:
For deeper insights into our entities and affiliates, explore futuclearing.com or moomoo.com/us to discover the future of investing with confidence and innovation.
About the Team & Role:
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.
What you do
Conduct daily trade surveillance reviews using NASDAQ SMARTS and related surveillance platforms across:
Analyze and disposition surveillance alerts related to potential market manipulation and abusive trading practices, including:
Perform complex investigations involving:
Review and interpret futures surveillance data, including CME market data and related trading activity.
Prepare investigative findings, escalation memos, exception reports, and regulatory responses with clear and defensible conclusions.
Respond to regulatory inquiries and examinations, including:
Partner with Compliance, Legal, Trading, Operations, and Technology teams to obtain data, communicate findings, and support remediation efforts.
Assist in the enhancement of surveillance rules, thresholds, procedures, and controls to address evolving market structure, products, and regulatory expectations.
Stay current on FINRA, SEC, CFTC, NFA, and broader regulatory developments impacting market abuse and trade surveillance.
What you offer
Required Qualifications
Extensive surveillance experience covering:
Equities
Digital assets / crypto
Strong knowledge of market abuse detection and surveillance methodologies across multiple asset classes.
Direct experience managing:
FINRA investigations
NFA or other regulatory inquiries
Strong understanding of U.S. securities and futures market structure, including:
CME/ICE exchange environments
Series 7, Series 3, and Series 24 licenses (active or eligible for transfer).
Strong analytical, investigative, written, and verbal communication skills.
Ability to operate independently in a fast-paced and highly regulated environment.
Preferred / Plus Qualifications
Familiarity with:
CFTC and NFA regulatory frameworks
What We Offer:
Base pay for a successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected salary range for this role is $120,000 - $160,000. This role is also eligible to participate in our discretionary bonus plan.
Disclaimer
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 contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job.
Employment with Futu Holdings Limited, including all subsidiaries, is on an at-will basis. This means that either the employee or the Company may terminate the employment relationship at any time, with or without notice and with or without cause, subject to applicable law. Nothing in this job posting or description should be construed as creating an express or implied contract of employment or guarantee of employment for any specific duration.
Futu Holdings Limited, including all subsidiaries, is an equal opportunity employer, and 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.
Warning about fake job posts:
Please be aware of fraudulent job postings by persons not affiliated with Futu, Moomoo, or their affiliates. Criminals may use fraudulent job postings to obtain your personally identifiable information and/or financial information to steal your identity and/or money.
All communications to you 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 you for bank account information nor ask you to pay anything during the hiring process.
If you see suspicious activity or believe that you have been the victim of a job posting scam, you should report it to your local FBI field office or to the FBI’s Internet Crime Complaint Center.
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Moomoo is a global investing platform that provides stocks, ETFs, options, and crypto with real-time market data and a set of trading tools. It helps users make informed decisions by offering features like real-time quotes, technical analysis tools, and in-depth order book data all in one place. Its products are designed to be easy for beginners while powerful enough for experienced traders, combining accessible data with advanced analytics to support a wide range of investment strategies. Compared to other platforms, moomoo stands out by offering a broad mix of assets across markets and a comprehensive toolkit in one place, focusing on both user-friendliness and depth of analysis. The company’s goal is to help global investors grow their financial potential over time, empowering people at all levels of experience to pursue their investment journey.
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