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Compliance Officer

2 months ago

Sydney, 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.