VP, Regulatory Finance

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:

• 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.

About the role

The VP, Regulatory Reporting is responsible for ensuring compliance with SEC, FINRA, CFTC, NFA, NMLS and state requirement, and applicable financial responsibility rules, including net capital, customer daily reserve computation, daily segregation/secured/swaps computation, FOCUS filings to FINRA and NFA, MSB Call Reporting and regulatory reporting requirements.

The VP, Regulatory Reporting will oversee the firm's regulatory financial reporting framework, support financial operations across affiliated U.S. entities, maintain strong internal controls, and serve as a key partner during regulatory examinations and financial audits. This individual plays a critical role in safeguarding the firm's regulatory standing, financial integrity, and operational resilience.

Office Location: Jersey City, NJ/Dallas, TX

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'll Do

• Maintain responsibility for broker-dealer and FCM financial regulatory compliance.
• Prepare, review, and file all required regulatory filings, including:

￮ FOCUS Reports for both SEC/FINRA and CFTC/NFA

￮ Customer Daily Reserve Computations (Rule 15c3-3)

￮ Net Capital Computations (Rule 15c3-1) to be in compliance with SEC and CFTC rules

￮ SSOI, OBS, SIPC, and related regulatory filings

￮ MSB Call Reporting on NMLS and certain state filings

• Monitor daily net capital to ensure ongoing compliance with regulatory thresholds.
• State Money Transmission License application and renewal
• Support regulatory examinations and serve as a key contact for FINRA, SEC, CFTC, NFA and external auditors.
• Support month-end, quarter-end, and year-end close processes for multiple affiliated entities. Ensure reporting accuracy, completeness, and audit readiness across financial and regulatory reporting functions.
• Assist with the enhancement and maintenance of accounting, regulatory, and ICOC/internal control frameworks.
• Organize and coordinate all financial audits, including annual audits, state audit and regulatory financial examinations.
• Partner cross-functionally with Finance, Compliance, Operations, and Technology teams on process improvements and systems implementations.
• Assist in developing scalable reporting and operational processes to support business growth and regulatory compliance.
• Prepare standard and ad hoc financial and operational reporting for management and regulators.
• Maintain and updates procedures and controls, including WSP, RCM, desk-top procedures.
• Perform additional duties and special projects as assigned.
• Manage and train teams as needed.