Middle Office SpecialistMoomoo • Dallas, TX, US
Middle Office Specialist
Moomoo • Dallas, TX, US
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job_description.job_card.job_descriptionAssist managers to update current new account policy and procedures and new account associates hiring. Provide training and assessment to application review team. Conduct quality assurance checks on processed new account applications and profile update to ensure compliance with regulations and internal policies. Backup reviewing new account applications, account profile update and ensure accuracy and completeness before processing. Prepare and send corporate action notices to clients, ensuring accurate and timely communication. Coordinate the preparation and distribution of outbound group emails at firm level, maintaining professionalism and adherence to company policies. Follow a Work Breakdown Structure (WBS) to ensure all necessary steps are completed accurately and in a timely manner for IPO projects Assist managers to oversee various projects aimed at assisting different departments within the organization to increase operational efficiency and reduce compliance risks. Foster Cross-functional collaboration by effectively communicating project goals, timelines, and deliverables. Assist managers in creating and updating department standard operating procedures (SOPs) Collaborate with Risk Control and Operation teams to monitor potential fraudulent activities and take action to prevent financial loss following firm's standard operating procedures (SOPs). Maintain effective communication with clients. Collaborate with the Compliance team to identify areas for improvement and implement process enhancements to achieve operational efficiency Act as a backup person to provide customer service support for email inquiries and assist outbound emails sending on behalf of other departments. Act as a backup person to coordinate business account opening process, including following up with applicants, collaborating with Compliance and AML teams, and facilitating application review and approval Maintain book and records, ensuring accuracy and completeness of information.
Middle Office Specialist
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 Financial Inc is a comprehensive brokerage platform that empowers proactive investors to take control of their financial future with ease and confidence. We integrate professional trading data, global financial news, a trading community, and an innovative web platform to provide users with better data, tools, and performance.
Join our dynamic team at Moomoo as our Middle Office Specialist, where your passion for finance and technology can thrive. As a Middle Office Specialist, your primary responsibilities will include reviewing and conducting quality assurance check on new account applications, account maintenance, operation and risk control support, coordinating projects, and ensuring compliance with regulatory requirements. This role will be responsible for overseeing various projects aimed at increasing operational efficiency and reducing compliance risks within the organization. You will collaborate with different departments, ensuring effective communication of project goals, timelines, and deliverables. Additionally, the Middle Office Specialist will backup customer service team and collaborate with the Compliance team to identify areas for improvement and implement process enhancements.
What You'll Do :
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