Compliance Officer

5 days ago

Sydney, New South Wales, Australia Moomoo Full time

Support the compliance program for Moomoo AU, ensuring adherence to relevant regulatory registrations and licensing requirements specific to the securities industry.
- Assist in providing guidance on AML/CTF and Sanctions regulatory requirements to support 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 reviews on high-risk customer relationships to ensure compliance with regulatory standards.
- Assist in resolving fraud and scam investigations, ensuring thorough tracking and reporting.
- Help investigate, track, and provide recommendations on customer complaints, compliance incidents, and potential breaches, including those lodged through IDR and EDR processes.
- Contribute to the development and implementation of compliance training to employees, including educational resources to promote a culture of compliance within the organization.
- Help maintain and review compliance policies, procedures, and reporting mechanisms to ensure regulatory requirements are met. Assist in reviewing and updating existing compliance frameworks.
- Support the compliance monitoring program by identifying potential risks and helping implement appropriate compliance controls.
- Monitor changes in laws, regulations, and standards and provide reports on their impact on the compliance program and business operations.
- Provide compliance support to product, software, and other front and back office teams to ensure alignment with regulatory requirements.

**Requirements**:

- Tertiary degree in Finance, Law or other business-related disciplines
- Minimum 2+ years compliance experience, preferably within banking, financial services or fintech environments
- Knowledge of relevant rules and regulations of ASIC and AUSTRAC
- Understanding of the role of compliance function in a financial services business
- Experience in one or more of the following areas/topics in compliance: regulatory compliance, ASIC licensing requirements, marketing and promotional materials, financial advice compliance, complaints, AML/CTF/FCC, stockbroking.

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