Vice President, Regulatory Finance

Job overview

The Vice President, Regulatory Finance role is full-time and onsite in the office; the posting identifies Jersey City, NJ and Dallas, TX as office locations and states that remote work is unavailable. The expected salary range is $200,000–$250,000 annually, with eligibility for a discretionary bonus plan. Futu US Inc. operates SEC-registered broker-dealers and a cryptocurrency brokerage as part of a financial services group focused on digital brokerage and wealth management. The role oversees regulatory financial reporting and compliance across affiliated U.S. entities, helping safeguard regulatory standing, financial integrity, and operational resilience. It prepares and reviews regulatory filings, monitors capital and reserve requirements, supports examinations and audits, and works with Finance, Compliance, Operations, and Technology on controls and process improvements.

What you'll do

• Maintain broker-dealer and FCM financial regulatory compliance
• prepare, review, and file FOCUS reports, customer reserve and net capital computations, and other regulatory filings
• monitor daily net capital
• manage state money transmission license applications and renewals
• support regulatory examinations and external audits
• support period-end close processes
• maintain accounting, regulatory, and internal control frameworks
• coordinate financial audits
• partner with cross-functional teams on process improvements and systems implementations
• prepare management and regulatory reports
• maintain procedures and controls
• manage and train teams as needed.

What we're looking for

Skills & competencies

vice president

regulatory finance

jersey city nj

dallas tx

moomoo

futu us inc.

broker-dealer compliance

regulatory reporting

focus reports

net capital

customer reserve computations

series 3

series 27

$200k–$250k annually

Work arrangement

• Weekend coverage required

Benefits & perks

• Paid medical benefits
• 401(k) employer contribution
• paid time off and holidays
• professional growth and development opportunities
• performance-based bonuses.

Why this role

Requires active Series 3 and Series 27 licenses and a bachelor’s degree in accounting, finance, or a related discipline. The posting specifies in-office work and lists Jersey City, NJ and Dallas, TX as office locations.

About the employer

moomoo is hiring for this role. Industry: Sales Financing. Sector: 52.