Responsibilities
- 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
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
Senior Compliance Officer (Mat Leave Cover) in Sydney employer: Moomoo ANZ
Moomoo is an exceptional employer that fosters a dynamic and innovative work culture, perfect for those looking to grow in the finance sector. As part of our finance team, you'll enjoy opportunities for professional development while working with cutting-edge technology in a collaborative environment. Located in Australia, we offer competitive benefits and a supportive atmosphere that values your contributions and encourages career advancement.
