Compliance Officer

Responsibilities

• Support the compliance program to ensure adherence to regulatory registrations and licensing requirements within the securities industry
• Assist in providing guidance on AML/CTF and sanctions obligations, supporting the Money Laundering Reporting Officer (MLRO)
• Participate in AML investigations and assist in the timely submission of Suspicious Matter Reports (SMRs) to AUSTRAC
• Conduct enhanced due diligence (EDD) on high-risk customer relationships
• Assist in fraud and scam investigations, ensuring appropriate tracking, escalation, and reporting
• Support the investigation and resolution of customer complaints, compliance incidents, and potential breaches, including IDR and EDR matters
• Draft, review, and update compliance policies, procedures, and internal guidelines
• Support the compliance monitoring program by identifying risks and assisting in the implementation of controls
• Monitor regulatory developments and assess their impact on the business and compliance framework
• Provide compliance support to product, technology, and front/middle/back office teams

Requirements

• Bachelor’s degree in Finance, Law, or a related discipline
• Minimum 2+ years of experience in compliance, preferably within banking, financial services, or fintech
• Strong knowledge of regulatory frameworks, particularly ASIC and AUSTRAC requirements
• Experience in AML/CTF or Financial Crime Compliance (FCC)
• Experience in complaints handling (IDR/EDR)
• Solid understanding of the role of compliance within a financial services organisation

About the Company

moomoo is a leading global fintech platform providing advanced trading tools and services to investors.