Director of Brokerage Operations job opportunity at Moomoo.

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Date2025-06-18T17:48:17.383Z bot
Moomoo Director of Brokerage Operations
Experience: 10-years
Pattern: Full-time
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loacation Jersey City, United States Of America
loacation Jersey City....United States Of America

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. About our role: We are seeking an experienced Operations Director to join our dynamic team within our Broker-Dealer operations. The ideal candidate will play a pivotal role in ensuring seamless operational processes, mitigating risk, and maintaining compliance with regulatory standards. This position requires a proactive approach to identifying inefficiencies, implementing controls, and optimizing procedures to enhance operational effectiveness. Key Responsibilities: Operational Oversight: Monitor daily operations, trade settlements, reconciliations, and financial transactions to ensure accuracy and compliance. Risk Management: Identify, assess, and mitigate operational risks, developing strategies to enhance controls and minimize errors. Regulatory Compliance: Ensure adherence to SEC, FINRA, and other regulatory requirements while maintaining proper documentation and reporting. Process Improvement: Analyze existing workflows, recommend enhancements, and implement automation initiatives to boost efficiency. Audit & Internal Controls: Collaborate with internal audit teams to ensure all processes align with industry best practices and regulatory standards. Cross-functional Coordination: Work closely with Clearing, Finance, AML, Compliance, Cash Management and Stock Transfer teams to streamline operations. Issue Resolution: Investigate trade discrepancies, reconcile accounts, and resolve escalated operational issues with precision and urgency. 10+ years of experience in Operations Control within a Broker-Dealer environment. Strong understanding of SEC, FINRA, and regulatory frameworks governing Broker-Dealer operations. Expertise in trade reconciliations, risk management, and compliance monitoring. Proficiency in industry systems (e.g., DTCC, OCC, Bloomberg, or similar platforms). Exceptional analytical and problem-solving skills with attention to detail. Effective communication and collaboration abilities in a fast-paced environment. Understanding of an omnibus clearing model

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