Regulatory Analyst

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.  

• Moomoo Crypto  

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 Regulatory Analyst/Accountant position at our brokerage firm involves ensuring compliance with financial regulations and standards specific to brokerage operations. The position will also assist the finance department with various accounting duties such as related reconciliations, journal entries, schedules, or other ad hoc projects. Responsibilities also will include interpreting and implementing regulatory requirements set forth by organizations such as the SEC, FINRA, and other relevant regulatory bodies. This role involves analyzing brokerage transactions, preparing regulatory filings, and ensuring accurate financial reporting in accordance with regulatory guidelines. Strong analytical skills and accounting background, regulatory knowledge, attention to detail, and effective communication abilities are essential for success in this role. 

What you'll do 

• Assist team with the Customer Reserve and PAB 15c3-3 computations. 

• Assist team with Net Capital 15c3-1 calculation and FOCUS reports. 

• Assist team with all financial related regulatory filings.  

• Collaborate across multiple departments in the organization.  

• Assisting in the development of financial statements and reports.  

• Support accounting team with monthly journal entries, bank reconciliations, and the closing of each financial period.  

• Assist with various financial and regulatory audits.  

• Work with internal and external financial and regulatory auditors. 

• Assist in maintaining and contributing to control processes and procedures.  

• Assist independent audit process and FINRA audit. 

• Ad hoc FINRA Reporting – preparation and analysis. 

• Cross departmental coordination with daily requirements and projects.  

• Contribute to various back office and system implementation projects across the organization.  

• Performs other related duties as assigned.  

Qualifications 

• Bachelor’s degree in finance, Accounting or similar 

• Series 27 or ability to obtain within 6 months.  

• 2-3 years Regulatory reporting experience from broker dealer (Preferred) 

• 2-3 years experience in CFTC reporting requirements for Futures Commission Merchants (Preferred) 

• 2-3 years experience in NMLS reporting related to money transmitter license (Preferred) 

What we offer 

• Paid Medical Benefits 

• 401k Employer Contribution 

• Paid Holidays 

• Paid Time Off