Compliance Associate - Trade Surveillance
Moomoo Inc., Jersey City, NJ, United States
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 Team & Role The
Junior Trade Surveillance Analyst/Associate
will support our Market Surveillance and Compliance function. This role is responsible for reviewing and escalating potentially manipulative or violative trading activity across multiple asset classes. The ideal candidate will have hands‑on experience using Nasdaq SMARTS and a solid understanding of U.S. securities market structure.
Office Location Jersey City, NJ/Dallas, TX
This role must be based on the office locations specified in the job description, in line with our in‑office work philosophy. Remote work is not available for this position. For more details about our in‑office approach and expectations, please reach out to the recruiter.
What you do
Conduct daily trade surveillance reviews using Nasdaq SMARTS across:
Equities
Listed options
Crypto-related products (where applicable)
Futures and futures-related instruments
Analyze alerts for potential market manipulation, including but not limited to:
Spoofing and layering
Wash trades
Marking the close
Front‑running
Cross-product and cross-market activity
Perform detailed trade, order, and account-level reviews to determine whether activity is suspicious or violative.
Escalate findings to senior surveillance staff and Compliance management with clear, well‑documented summaries.
Assist with regulatory inquiries, examinations, and requests from FINRA, exchanges, or other regulators.
Maintain accurate documentation and audit trails in accordance with firm WSPs and regulatory requirements.
Support ongoing surveillance model tuning, testing, and alert quality reviews.
Stay current on regulatory developments affecting trade surveillance obligations.
What you offer Required Qualifications
2–3 years of trade surveillance experience at a broker‑dealer, clearing firm, exchange, or regulator
Direct hands‑on experience with
Nasdaq SMARTS
(required)
Experience reviewing trading activity in
equities
and
options
(required)
Exposure to
crypto and futures trading surveillance
strongly preferred
Working knowledge of:
U.S. market structure
FINRA and exchange rules related to market manipulation and abusive trading
Strong analytical and investigative skills with attention to detail.
Ability to clearly document findings and communicate issues verbally and in writing.
Comfortable working in a regulated, deadline‑driven environment.
Series 7 and 24
(can be obtained during first 6 months of employment).
Preferred Attributes
Experience at a
FINRA clearing firm
or self-clearing broker‑dealer.
Familiarity with regulatory referrals, SAR-supporting reviews, or exam responses.
Interest in developing deeper expertise in multi-asset surveillance.
Education
Bachelor’s degree in finance, Economics, Business, or a related field (or equivalent experience).
What We Offer
Comprehensive Paid Medical Benefits: We prioritize your health with a robust medical benefits plan that covers you and your dependents.
401k Employer Contribution: We match your contributions to help you grow your retirement savings.
Generous Paid Time Off & Paid Holidays: Take the time you need to recharge and pursue your passions with our generous paid time off policy.
Opportunities for Professional Growth & Development: Invest in your future through hands‑on learning, skill-building, and cross-functional work.
Performance Based Bonuses: Your hard work deserves recognition! Enjoy performance-based bonuses that reward your contributions to our team’s success.
Base 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
$85,000 - $105,000 . This role is also eligible to participate in our discretionary bonus plan.
Disclaimer The 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 posts Please 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.
If you see suspicious activity or believe that you have been the victim of a job posting scam, you should report it to your local FBI field office or to the FBI’s Internet Crime Complaint Center.
#J-18808-Ljbffr
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 Team & Role The
Junior Trade Surveillance Analyst/Associate
will support our Market Surveillance and Compliance function. This role is responsible for reviewing and escalating potentially manipulative or violative trading activity across multiple asset classes. The ideal candidate will have hands‑on experience using Nasdaq SMARTS and a solid understanding of U.S. securities market structure.
Office Location Jersey City, NJ/Dallas, TX
This role must be based on the office locations specified in the job description, in line with our in‑office work philosophy. Remote work is not available for this position. For more details about our in‑office approach and expectations, please reach out to the recruiter.
What you do
Conduct daily trade surveillance reviews using Nasdaq SMARTS across:
Equities
Listed options
Crypto-related products (where applicable)
Futures and futures-related instruments
Analyze alerts for potential market manipulation, including but not limited to:
Spoofing and layering
Wash trades
Marking the close
Front‑running
Cross-product and cross-market activity
Perform detailed trade, order, and account-level reviews to determine whether activity is suspicious or violative.
Escalate findings to senior surveillance staff and Compliance management with clear, well‑documented summaries.
Assist with regulatory inquiries, examinations, and requests from FINRA, exchanges, or other regulators.
Maintain accurate documentation and audit trails in accordance with firm WSPs and regulatory requirements.
Support ongoing surveillance model tuning, testing, and alert quality reviews.
Stay current on regulatory developments affecting trade surveillance obligations.
What you offer Required Qualifications
2–3 years of trade surveillance experience at a broker‑dealer, clearing firm, exchange, or regulator
Direct hands‑on experience with
Nasdaq SMARTS
(required)
Experience reviewing trading activity in
equities
and
options
(required)
Exposure to
crypto and futures trading surveillance
strongly preferred
Working knowledge of:
U.S. market structure
FINRA and exchange rules related to market manipulation and abusive trading
Strong analytical and investigative skills with attention to detail.
Ability to clearly document findings and communicate issues verbally and in writing.
Comfortable working in a regulated, deadline‑driven environment.
Series 7 and 24
(can be obtained during first 6 months of employment).
Preferred Attributes
Experience at a
FINRA clearing firm
or self-clearing broker‑dealer.
Familiarity with regulatory referrals, SAR-supporting reviews, or exam responses.
Interest in developing deeper expertise in multi-asset surveillance.
Education
Bachelor’s degree in finance, Economics, Business, or a related field (or equivalent experience).
What We Offer
Comprehensive Paid Medical Benefits: We prioritize your health with a robust medical benefits plan that covers you and your dependents.
401k Employer Contribution: We match your contributions to help you grow your retirement savings.
Generous Paid Time Off & Paid Holidays: Take the time you need to recharge and pursue your passions with our generous paid time off policy.
Opportunities for Professional Growth & Development: Invest in your future through hands‑on learning, skill-building, and cross-functional work.
Performance Based Bonuses: Your hard work deserves recognition! Enjoy performance-based bonuses that reward your contributions to our team’s success.
Base 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
$85,000 - $105,000 . This role is also eligible to participate in our discretionary bonus plan.
Disclaimer The 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 posts Please 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.
If you see suspicious activity or believe that you have been the victim of a job posting scam, you should report it to your local FBI field office or to the FBI’s Internet Crime Complaint Center.
#J-18808-Ljbffr