Vice President, Trading Surveillance Compliance

Responsibilities

• Conduct daily trade surveillance reviews using NASDAQ SMARTS across equities, options, and digital assets/crypto.
• Analyze and disposition alerts related to market manipulation, including spoofing, layering, wash trading, and front-running.
• Perform complex investigations involving trading pattern analysis, account relationships, and order lifecycle analysis.
• Prepare investigative findings, escalation memos, and regulatory responses with clear conclusions.
• Respond to regulatory inquiries and examinations, including FINRA investigations and Electronic Blue Sheet (EBS) requests.
• Partner with Compliance, Legal, Trading, and Technology teams to support remediation efforts and enhance surveillance controls.

Requirements

• 7+ years of hands-on trade surveillance experience at a FINRA member firm, clearing firm, or regulator.
• Extensive surveillance experience covering Equities, Options, and Digital assets/crypto.
• Hands-on expertise with NASDAQ SMARTS or similar surveillance technologies (e.g., OneTick, Eventus).
• Proven experience managing FINRA investigations, EBS requests, and NFA inquiries.
• Active or eligible for transfer of Series 7, Series 3, and Series 24 licenses.
• Strong understanding of U.S. securities and futures market structures.

Preferred Qualifications

• Experience with futures and NFA-related surveillance.
• Background working at a clearing firm or supporting introducing broker-dealers.
• Familiarity with CFTC regulatory frameworks and large trader reporting.

Benefits

• Comprehensive Paid Medical Benefits for you and your dependents.
• 401k Employer Contribution with company match.
• Generous Paid Time Off and Paid Holidays.
• Performance-based bonuses.
• Opportunities for professional growth and development.

About the Company

moomoo (Futu US Inc.) is at the forefront of financial services, operating SEC-registered broker-dealers and a cryptocurrency brokerage. We aim to innovate the investing landscape through a digitized brokerage and wealth management platform designed to elevate the investment experience.