Senior Compliance Manager, Digital Advertising - moomoo

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.

Key Responsibilities:

• Oversee and review Marketing/PR/Branding materials to ensure compliance with relevant laws, company policies, and regulations set by FINRA and the SEC.
• Possess a strong business-supporting mindset, clearly guiding and explaining the necessary modifications to advertisements, and helping the marketing department understand compliance standards.
• Complete all reviews and tasks on time while fostering efficient collaboration with business units.
• Review internal and external communication materials to identify potential risk points.
• Evaluate and improve departmental policies and procedures, and propose recommendations to enhance the compliance framework.
• Represent the compliance team in regulatory and internal audits.
• Oversee or support ad hoc tasks and projects, providing professional support on complex compliance issues.

Requirements

• Over 8 years of experience in marketing and advertising compliance within the internet brokerage industry.
• Licensed in FINRA Series 7, 63, 4, and 24.
• Strong business acumen with the ability to resolve compliance issues from a business perspective. Possess business sense to adjust performance flexibly to meet regulatory legal principles and requirements.
• Fluent in both Chinese and English, capable of efficient communication in a bilingual environment, especially when interacting with overseas teams.
• Excellent communication skills, able to effectively engage with superiors and offices globally, and sufficiently senior to communicate directly with FINRA.
• Strong analytical skills to identify potential compliance issues, assess regulatory risks, and provide effective solutions.
• Ability to prioritize and handle multiple tasks, perform efficiently under pressure, and possess good organizational and time management skills.
• Familiarity with Red Oak and Smarsh compliance software is preferred.

Benefits

What We Offer:

• Paid Medical Benefits
• 401k Employer Contribution
• Unlimited PTO
• Paid Holidays

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.