Futu US Inc. is seeking a Director of Compliance to lead regulatory examinations, investigations, and AML controls within a global financial services group.
Based in Dallas, TX or Jersey City, NJ, this role requires extensive experience with FINRA and SEC rules for broker-dealers, and a proven ability to manage cross-functional teams and regulatory responses.
The position offers a pathway to shape compliance programs across clearing, surveillance, and reporting in a fast-paced environment.
#J-18808-LjbffrDirector of Compliance: Regulatory Examinations & AML in northern at Unknown Company
This position is listed as full time and onsite.