Senior Director of Crypto Compliance

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  or  to discover the future of investing with confidence and innovation.

About the Role

As Senior Director of Crypto Compliance, you will serve as the architect of our compliance vision—embedding trust at the core of everything we build. You’ll lead the intersection of crypto innovation and regulatory clarity, ensuring our firm not only meets today’s standards, but helps define tomorrow’s while ensuring adherence to U.S. securities laws (SEC, FINRA, NFA, CFTC) and applicable crypto-specific guidelines. You will help navigate evolving regulatory landscapes related to digital assets while establishing a robust compliance culture across the organization. This role is critical in maintaining the firm’s state registrations, preventing regulatory risk, and safeguarding client trust.

Key Responsibilities

• Regulatory Oversight & Licensing
• Maintain the firm’s compliance with SEC, FINRA, NFA and CFTC rules applicable to registered broker-dealers and Crypto firms.
• Monitor and interpret regulatory changes related to crypto assets, tokens, and blockchain technologies.
• Ensure ongoing compliance with NYDFS regulatory requirements applicable to Limited Purpose Trust Companies, including capital requirements, audit readiness, asset safeguarding, and regulatory reporting.
• Compliance Program Management
• Own the strategic design and ongoing evolution of the firm’s supervisory and governance frameworks, ensuring they scale with emerging products, market expansion, and regulatory complexity.
• Serve as the firm’s regulatory ambassador—anticipating examination priorities, maintaining audit readiness, and fostering trusted relationships with federal and state regulators.
• Coordinate and manage responses to regulatory inquiries, audits, or examinations.
• Crypto-Specific Governance
• Evaluate the classification of digital assets under securities law.
• Implement AML/KYC policies aligned with crypto trading and custody risks.
• Oversee the implementation of real-time transaction monitoring tools (e.g., NTS, Chainalysis, NotaBene)
• Establish incident response protocols for hacks, theft, or protocol exploits.
• Training & Risk Mitigation
• Set strategic training vision and oversee the design and delivery of enterprise-wide compliance programs, tailored to emerging crypto risks.
• Oversee enterprise-level risk investigations, integrating findings into broader operational and strategic risk controls.
• Cross-Functional Collaboration
• Act as a strategic partner to product, engineering, and executive leadership—enabling innovative crypto offerings while maintaining regulatory integrity.
• Collaborate with engineering and security teams to review wallet architecture, data retention policies, and private key management frameworks
• Act as the primary point of contact for regulators, auditors, and compliance vendors.

Qualifications

• FINRA Series 7, 24, and 63 (required).
• 7 years of compliance experience in a registered broker-dealer; at least 7 years in crypto/digital assets preferred.
• Deep knowledge of securities laws (’33 Act, ’34 Act), FINRA Rulebook, and AML regulations (BSA/Patriot Act) and all applicable crypto regulations
• Familiarity with digital asset custodians, crypto trading platforms, blockchain analytics tools, and DeFi ecosystems.
• Proven track record of managing complex regulatory engagements, including examinations, enforcement negotiations, and proactive disclosure strategies. Strong project management, analytical, and communication skills.

Preferred Attributes

• Knowledge of CEX and custody service providers.
• Prior experience with Reg ATS, Reg D token offerings as well as with international crypto compliance frameworks, including MiCA, VASP registrations (EU, UK), and APAC regulatory coordination is a plus.
• Deep expertise in New York State crypto regulatory regimes, including BitLicense and Limited Purpose Trust Company frameworks.
• Proven ability to scale compliance operations in a fast-paced startup environment.

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

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.