Director, Compliance (AML)

Responsibilities

• Oversee and manage the firm’s AML compliance program in accordance with the Bank Secrecy Act (BSA), USA PATRIOT Act, and applicable FINRA and SEC regulations
• Act as a subject-matter expert on CDD, EDD, transaction monitoring, sanctions screening, and SARs
• Design, enhance, and optimize AML data flows, reporting, and surveillance processes to improve efficiency
• Partner with Technology, Operations, and Data teams to implement and refine AML systems and automation
• Manage AML alerts, investigations, and escalations, ensuring timely and accurate regulatory filings
• Maintain AML Written Supervisory Procedures (WSPs), risk assessments, and internal controls
• Prepare for and respond to regulatory exams, audits, and inquiries
• Provide guidance and training to AML staff and stakeholders

Requirements

• Significant AML compliance experience within a FINRA-registered broker-dealer
• Active FINRA Series 7 license at the time of hire
• Active CAMS certification at the time of hire
• Active FINRA Series 24 license or the ability to obtain it within 4 months of hire
• In-depth knowledge of BSA/AML requirements, USA PATRIOT Act, FINRA, and SEC regulations
• Strong hands-on experience with transaction monitoring, investigations, SAR filings, and sanctions screening
• Demonstrated experience managing AML alerts and regulatory inquiries within capital markets environments
• Strong background in AML systems, surveillance platforms, and data analysis

Preferred Qualifications

• Prior experience working at or supporting regulatory agencies such as FINRA, SEC, or the Federal Reserve
• Experience in trading environments, including electronic trading or institutional brokerage
• Trade surveillance and market abuse monitoring experience (e.g., spoofing, layering, wash trades)
• Hands-on experience with Actimize or comparable AML/trade surveillance platforms

Benefits

• Comprehensive Paid Medical Benefits
• 401k Employer Contribution/Match
• Generous Paid Time Off and Paid Holidays
• Opportunities for Professional Growth & Development
• Performance-Based Bonuses

About the Company

Futu US Inc. stands at the forefront of financial services, housing SEC-registered broker-dealers and a cryptocurrency brokerage under the wing of Futu Holdings Limited (Nasdaq: FUTU). Through brands like moomoo, we innovate the investing landscape via a digitized brokerage and wealth management platform designed to elevate the investment experience.