Role Overview

We are seeking a motivated and detail-oriented Compliance Officer to join our growing compliance team. In this broad-based role, you will support a wide range of day-to-day regulatory compliance activities across Moomoo AU, including regulatory matters, fraud and scam investigations, breach and incident management, marketing compliance, complaints and dispute resolution.

This position is offered as an initial 12-month fixed-term contract, with the potential for a further 12-month extension subject to business needs and performance.

This is an excellent opportunity for an early-career compliance professional to gain broad, hands-on exposure across multiple areas of regulatory compliance within the securities industry, while developing practical experience in a fast-paced fintech environment. Benefits

Competitive salary and bonus scheme

Office gym membership

Group private health insurance

Unlimited training and growth opportunities in the investment industry

Key Responsibilities

Support day-to-day compliance activities across the business to ensure adherence to applicable regulatory and licensing requirements within the securities and financial services industry, including AFSL obligations

Maintain a sound working knowledge of relevant financial services legislation, regulatory requirements and ASIC Regulatory Guides, and monitor regulatory developments relevant to the business

Assist with fraud and scam-related investigations and escalations, including reviewing relevant information, coordinating with internal and external stakeholders, maintaining appropriate records, and ensuring matters are escalated and reported appropriately

Maintain compliance registers and records,



including complaints, incidents, breaches, regulatory matters and other compliance registers, ensuring information is accurate, complete, up to date and appropriately documented

Contribute to breach and incident management processes, including initial assessment, investigation, documentation, escalation, remediation tracking and compliance reporting

Review business and marketing materials from a regulatory compliance perspective, including consideration of applicable requirements and regulatory guidance such as ASIC RG 234, and provide practical compliance feedback to relevant stakeholders

Manage and support customer complaints in accordance with Moomoo AU's Internal Dispute Resolution framework and ASIC Regulatory Guide 271, including assessment, investigation, preparation of written responses and timely escalation of complex or unresolved matters

Support AFCA matters where required, including gathering relevant evidence, preparing responses, coordinating internal input and maintaining appropriate records throughout the dispute resolution process

Maintain accurate and comprehensive complaint records and support the collection, validation, analysis and reporting of complaints data in accordance with ASIC reporting requirements

Provide practical compliance support to product, technology,



operations and front/back-office teams to support regulatory alignment in current and existing business activities

Support internal audits, external reviews and regulatory inquiries, including coordinating information and documentation and following up on remediation actions

Manage competing compliance priorities effectively, identify matters requiring urgent attention, and escalate material, sensitive or time-critical issues promptly to appropriate stakeholders Requirements 1-2 years' experience in risk & compliance, regulatory compliance, complaints handling, or similar role (preferably in financial services or fintech)

Familiarity with the Australian financial services regulatory framework, including relevant legislation, regulatory requirements and ASIC Regulatory Guides. Knowledge of RG 234, RG 271 and AFSL obligations will be highly regarded

Strong verbal and written communication skills - able to explain complex regulatory and compliance matters clearly and professionally

Experience in complaints handling and AFCA matters, including preparing written responses, coordinating evidence and managing escalations, will be highly regarded

Strong analytical and problem-solving skills, with excellent attention to detail and the ability to identify potential compliance risks and issues

Strong organisational and prioritisation skills, with the ability to manage multiple matters, meet deadlines and appropriately escalate material, sensitive or time-critical issues

Ability to work effectively in a fast-paced, digital-first environment and collaborate with stakeholders across different business functions

📌 Compliance Officer - 12 Month Fixed-Term Contract (Sydney)
🏢 Moomoo ANZ
📍 Sydney