Director, Compliance - Dallas
1 week ago
Job Summary
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 thats designed to elevate the investment experience
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Responsibilities
- Oversight And Management Of The Firm S AML Compliance Program In Accordance With The Bank Secrecy Act BSA USA PATRIOT Act And Applicable FINRA SEC And State Regulations ,
- Act As A Subject Matter Expert On All AML Related Matters Including CDD EDD Transaction Monitoring Sanctions Screening SARs ,
- Design Enhance And Optimize AML Data Flows Reporting Surveillance Processes To Improve Efficiency Reduce Manual Review
Job description
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