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Brokerage Operations Associate

Brokerage Operations Associate

MoomooJersey City, NJ, US
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About the Role

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 Role

We 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 Responsibilities

  • Monitor 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.
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    Brokerage Associate • Jersey City, NJ, US