Futu US, Inc.
Senior Compliance Manager (Advertising & Marketing Review) Job at Futu US, Inc.
Futu US, Inc., Jersey City, New Jersey, United States
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.
Senior Compliance Manager (Advertising & Marketing Review)
Office Location: Jersey City, NJ
About the Team & Role:
As a Senior Compliance Manager (Advertising & Marketing Review), you'll be responsible for ensuring retail communications comply with applicable regulations and internal standards in a fast-paced, dynamic environment. This position will also have responsibilities associated with communication audit functions and in recommending enhancements to the overall workflows of the advertising submission process. Your expertise will be integral to providing compliance yet compelling communications with the public. This role is only open to Mandarin Chinese speaking candidates due to the close working relationship with our APAC partners.
This role must be based at 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'll Do:
What You Bring:
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 $130,000 - $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.
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.
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:
- 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.
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.
Senior Compliance Manager (Advertising & Marketing Review)
Office Location: Jersey City, NJ
About the Team & Role:
As a Senior Compliance Manager (Advertising & Marketing Review), you'll be responsible for ensuring retail communications comply with applicable regulations and internal standards in a fast-paced, dynamic environment. This position will also have responsibilities associated with communication audit functions and in recommending enhancements to the overall workflows of the advertising submission process. Your expertise will be integral to providing compliance yet compelling communications with the public. This role is only open to Mandarin Chinese speaking candidates due to the close working relationship with our APAC partners.
This role must be based at 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'll Do:
- Oversee and review retail communications to ensure compliance with applicable laws, firm policies, and FINRA and SEC regulations
- Provide strategic guidance and clear explanations on required changes to retail communications, supporting submitters in understanding compliance standards
- Ensure timely completion of all reviews and assignments within established service level agreement timeframes
- Lead social media surveillance efforts, identifying and analyzing potential risks in public communications
- Conduct thorough reviews of internal and external communications to detect red flags or risks to the firm
- Evaluate and enhance departmental policies and procedures, recommending improvements to strengthen compliance frameworks
- Represent the compliance team in regulatory and internal examinations as needed
- Oversee or support ad hoc tasks and projects, providing expertise on complex compliance issues
What You Bring:
- Bachelor's degree preferred, or an equivalent combination of education, training, and experience
- 8+ years of compliance experience within a online retail broker-dealer, with a focus on advertising and marketing compliance
- Required FINRA Licenses: Series 7, 63, 4, and 24
- Strong business acumen, with an ability to approach tasks strategically from a business perspective
- Strong regulatory relationships with the ability to maintain positive interactions with regulatory bodies
- Fluency in both Mandarin and English to effectively manage compliance tasks in a bilingual environment, especially when communicating with international stakeholders
- Excellent communication skills, with the ability to engage effectively with supervisors and global offices
- Strong analytical skills for identifying potential compliance issues, assessing regulatory risks, and recommending effective solutions in a dynamic environment
- Proven ability to prioritize tasks and multitask effectively under pressure, with excellent organizational and time management skills
- Experience with Red Oak and Smarsh compliance software is a plus
What We Offer:
- 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
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 $130,000 - $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.
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.