About this role
Director, Compliance at moomoo. Location: Dallas or Jersey City. Role: coordinating examinations, overseeing compliance, managing remediation Requirements: 5+ years compliance experience in FINRA-regulated broker-dealers or clearing firms; experience managing regulatory examinations, AML, trade surveillance, and clearing operations; Series 7 and 24 required. Category: Legal and Compliance Seniority: Senior Level Certifications: series 7, series 24, series 3, series 4 Commitment: Full Time Workplace: Onsite Languages: English