Compliance Officer (Mat Leave Cover) at moomoo

Sydney, New South Wales, Australia -

Full Time

Start Date

Immediate

Expiry Date

05 Aug, 26

Salary

0.0

Posted On

07 May, 26

Experience

2 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Regulatory Compliance, AML/CTF, Sanctions Obligations, Enhanced Due Diligence, Fraud Investigation, Complaints Handling, ASIC Regulations, AUSTRAC Requirements, Policy Drafting, Compliance Monitoring, Financial Crime Compliance, Securities Industry Knowledge

Industry

Financial Services

Description

Support the compliance program to ensure adherence to relevant 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 to ensure regulatory compliance 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 Contribute to the development and delivery of compliance training and awareness initiatives Draft, review, and update compliance policies, procedures, and internal guidelines to ensure alignment with regulatory requirements and business practices Assist in maintaining and enhancing the compliance policy framework, including periodic reviews and version control Support the compliance monitoring program by identifying risks and assisting in the implementation of appropriate 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 to ensure regulatory alignment. Bachelor’s degree in Finance, Law, or a related discipline Minimum 2+ years’ experience in compliance, preferably within banking, financial services, or fintech Strong knowledge of regulatory frameworks, particularly ASIC and AUSTRAC requirements Solid understanding of the role of compliance within a financial services organisation Experience in one or more of the following areas: Regulatory compliance and licensing (ASIC) AML/CTF / Financial Crime Compliance (FCC) Marketing and financial promotions compliance Financial advice compliance Complaints handling (IDR/EDR) Stockbroking or securities industry

Responsibilities

Support the compliance program by ensuring adherence to regulatory registrations and licensing requirements within the securities industry. This includes conducting AML investigations, performing enhanced due diligence, and updating compliance policies and frameworks.