Job Description

Responsibilities

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- Support the compliance program to ensure adherence to relevant regulatory registrations and licensing requirements within the securities industry
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- Assist in providing guidance on AML/CTF and sanctions obligations, supporting the Money Laundering Reporting Officer (MLRO)
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- Participate in AML investigations and assist in the timely submission of Suspicious Matter Reports (SMRs) to AUSTRAC
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- Conduct enhanced due diligence (EDD) on high-risk customer relationships to ensure regulatory compliance
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- Assist in fraud and scam investigations, ensuring appropriate tracking, escalation, and reporting
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- Support the investigation and resolution of customer complaints, compliance incidents, and potential breaches, including IDR and EDR matters
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- Contribute to the development and delivery of compliance training and awareness initiatives
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- Draft, review, and update compliance policies, procedures, and internal guidelines to ensure alignment with regulatory requirements and business practices
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- Assist in maintaining and enhancing the compliance policy framework, including periodic reviews and version control
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- Support the compliance monitoring program by identifying risks and assisting in the implementation of appropriate controls
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- Monitor regulatory developments and assess their impact on the business and compliance framework
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- Provide compliance support to product, technology, and front/middle/back office teams to ensure regulatory alignment
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Requirements

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- Bachelor's degree in Finance, Law, or a related discipline
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- Minimum 2+ years' experience in compliance, preferably within banking, financial services, or fintech
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- Solid knowledge of regulatory frameworks, particularly ASIC and AUSTRAC requirements
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- Solid understanding of the role of compliance within a financial services organisation
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- Experience in one or more of the following areas:
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- Regulatory compliance and licensing (ASIC)
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- AML/CTF / Financial Crime Compliance (FCC)
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- Marketing and financial promotions compliance
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- Financial advice compliance
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- Complaints handling (IDR/EDR)
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- Stockbroking or securities industry
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📌 Senior Compliance Officer (Mat Leave Cover) (New South Wales)
🏢 Moomoo ANZ
📍 New South Wales