Director of Brokerage Operations

Operations Director

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.

We are seeking an experienced Operations Director to join our dynamic team within our Broker-Dealer operations. The ideal candidate will play a pivotal role in ensuring seamless operational processes, mitigating risk, and maintaining compliance with regulatory standards. This position requires a proactive approach to identifying inefficiencies, implementing controls, and optimizing procedures to enhance operational effectiveness.

Key Responsibilities:

• Operational Oversight: Monitor daily operations, trade settlements, reconciliations, and financial transactions to ensure accuracy and compliance.
• Risk Management: Identify, assess, and mitigate operational risks, developing strategies to enhance controls and minimize errors.
• Regulatory Compliance: Ensure adherence to SEC, FINRA, and other regulatory requirements while maintaining proper documentation and reporting.
• Process Improvement: Analyze existing workflows, recommend enhancements, and implement automation initiatives to boost efficiency.
• Audit & Internal Controls: Collaborate with internal audit teams to ensure all processes align with industry best practices and regulatory standards.
• Cross-functional Coordination: Work closely with Clearing, Finance, AML, Compliance, Cash Management and Stock Transfer teams to streamline operations.
• Issue Resolution: Investigate trade discrepancies, reconcile accounts, and resolve escalated operational issues with precision and urgency.