AML Compliance Analyst

Jersey City, NJ
$60,000-90,000 per year
Permanent
Full-time

6 days ago
Apply easily

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 Team & Role:You will play a key role in supporting the team responsible for monitoring and enforcing anti-money laundering policies and procedures. Your work will help ensure compliance with regulatory requirements and protect the integrity of our financial services. You’ll collaborate with internal stakeholders to identify potential risks, conduct investigations, and contribute to the development of compliance strategies.This role must be based at the specified office locations, 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.Office Location: Jersey City, NJ/Dallas, TXWhat you'll do

Investigate and assess alerts for potential suspicious activity
Conduct AML Enhanced Due Diligence reviews to assess risk on newly opened and established brokerage accounts.
Submit AML Inquiry requests to customers to obtain further information regarding questionable and potentially suspicious activity
Investigate and assess AML alerts generated by third party AML vendor. (Suspicious Activity, Watch List Filtering, Customer Due Diligence and Transaction Monitoring)
Investigate internal referrals for possible SAR filings
Alert management to trends in possible suspicious customer behavior
Document findings and basis for cases and alerts investigated
Investigate FINRA, SEC and other government related requests

RequirementsWhat you offer

ACAMS Certified - Preferred
Series 7 licensed
Series 24 or obtain within 4 months of hire
Bachelor’s Degree or relevant industry experience
2+ years of experience in an AML compliance role in a broker dealer preferred
Excellent written and verbal communication skills including an ability to clearly provide written reports that accurately and clearly summarize issues and present solutions in an understandable and logical manner
Possessing, or ability to work toward possessing, an in-depth knowledge of current FINRA, SEC, state and related regulations and rules
Proven ability to influence other’s actions and decisions without express authority
Proven ability to develop and maintain strong internal and external business relationships

BenefitsWhat 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 $60,000 - $90,000. This role is also eligible to participate in our discretionary bonus plan.DisclaimerThe 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 postsPlease 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.

Moomoo