Brokerage Operations Associate

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 the RoleWe are seeking a highly analytical and detail-oriented Broker Dealer Operations Control Associate to join our team. In this role, you will play a critical part in maintaining operational integrity, ensuring compliance with regulatory standards, and mitigating risk within broker-dealer operations. You will collaborate with various teams to oversee trade settlements, reconciliations, regulatory reporting, and internal audits, ensuring seamless day-to-day operations.Key ResponsibilitiesMonitor and evaluate broker-dealer operational processes to identify potential risks and ensure compliance with regulatory requirements.Conduct trade reconciliations and settlement oversight to maintain accuracy and efficiency.Assist with internal audits and regulatory reporting, collaborating with compliance teams to ensure adherence to FINRA, SEC, and other industry regulations.Develop and implement operational control procedures to mitigate risk and enhance efficiency.Investigate discrepancies, trade breaks, and operational issues, resolving them in a timely manner.Work closely with front-office, back-office, and compliance teams to optimize operational workflows.Maintain up-to-date knowledge of market developments, industry regulations, and operational best practices.RequirementsQualificationsBachelor's degree in Finance, Business, Economics, or a related field.5+ years of experience in broker-dealer operations, risk management, self-clearing or introducing broker modelStrong understanding of FINRA, SEC, and other regulatory guidelines.Excellent analytical skills and attention to detail.Proficiency in Microsoft Excel, data analytics tools, and trade settlement platforms.Strong problem-solving abilities and ability to work in a fast-paced environment.Effective communication skills and ability to collaborate across teams.BenefitsWhat We Offer:Comprehensive Paid Medical Benefits: We prioritize your health with a robust medical benefits plan that covers you and your dependents401k Employer Contribution: We match your contributions to help you grow your retirement savingsGenerous Paid Time Off & Paid Holidays: Take the time you need to recharge and pursue your passions with our generous paid time off policyOpportunities for Professional Growth & Development: Invest in your future through hands-on learning, skill-building, and cross-functional workPerformance Based Bonuses: Your hard work deserves recognition! Enjoy performance-based bonuses that reward your contributions to our team's successBase pay for a successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected salary range for this role is $70,000 - $100,000. This role is also eligible to participate in our discretionary bonus plan.DisclaimerThe above information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job.Futu Holdings Limited, including all subsidiaries, is an equal opportunity employer, and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability status, protected veteran status, or any other characteristic protected by law.Warning about fake job postsPlease be aware of fraudulent job postings by persons not affiliated with Futu, Moomoo, or their affiliates. Criminals may use fraudulent job postings to obtain your personally identifiable information and/or financial information to steal your identity and/or money.All communications to you will come from a business email address. We do not hire through text message, social media, or email alone, and any interviews will be conducted in person or through a video call. We will not ask you for bank account information nor ask you to pay anything during the hiring process.