Compliance Manager (Mat Leave Cover)

Company : Moomoo

Job Type : Full Time

Sydney, Australia

Job Description - Compliance Manager (Mat Leave Cover)

Description

Support the compliance program to ensure adherence to relevant regulatory registrations, licensing obligations, and compliance requirements within the financial services industry
Provide compliance guidance on regulatory obligations, AML/CTF requirements, sanctions obligations, and broader compliance matters across day-to-day business activities
Conduct compliance monitoring activities across business operations, including representatives conduct monitoring, onboarding oversight, and regulatory compliance reviews
Participate in compliance investigations, regulatory reporting matters, and financial crime related escalations where required
Support onboarding, due diligence, OCDD / ECDD reviews, and ongoing compliance oversight activities in line with internal policies and regulatory expectations
Assist in fraud, scam, compliance incident, and regulatory breach investigations, ensuring appropriate escalation, tracking, and reporting
Support the investigation and resolution of customer complaints, compliance incidents, and potential breaches, including IDR and EDR matters where applicable
Contribute to the development and delivery of compliance training, awareness initiatives, and governance-related activities
Draft, review, and update compliance policies, procedures, marketing materials, and internal guidelines to ensure alignment with regulatory requirements and business practices
Support the ongoing enhancement of the compliance framework, including governance reporting, policy reviews, and monitoring activities
Conduct compliance monitoring and assist in identifying regulatory and operational risks, including implementation of appropriate controls where required
Monitor and interpret regulatory developments and assess their impact on the business and broader compliance framework
Work closely with product, technology, operations, client services, and other business units to support compliance obligations and regulatory alignment

Requirements

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

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Compliance Manager (Mat Leave Cover)

Job Description - Compliance Manager (Mat Leave Cover)

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