DescriptionSupport 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 RequirementsBachelor's degree in Finance, Law, or a related discipline Minimum 2+ years' experience in compliance, preferably within banking, financial services, or fintech Solid knowledge of regulatory frameworks, particularly ASIC and AUSTRAC requirementsSolid 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

📌 Compliance Manager (Mat Leave Cover) (New South Wales)
🏢 moomoo
📍 New South Wales