Moomoo
Compliance Analyst (Brokerage)
North York, Ontario, Canada
Sponsorship not specifiedDetected 6 days ago
ComplianceAccountingCommunicationProblem Solving
About the role
- About Moomoo Canada Financial Inc. (MFC) Moomoo Canada Financial Inc. (MFC) is a subsidiary of FUTU Holdings Inc. (NASDAQ: FUTU), a global leader in online brokerage and wealth management solutions. Moomoo is one of the most trusted and innovative retail trading platforms, serving over 24 million active users worldwide. We offer an advanced, user-friendly
- trading platform for do-it-yourself traders, empowering them to take control of their financial futures. Having launched in Canada just over a year ago, MFC has experienced significant growth and success. Based in Toronto, with convenient access to the city's Line 1 TTC subway, our new office boasts bright, open spaces and spectacular views of the city. As
Responsibilities
- Document alert reviews, investigative findings, supporting information, and recommended next steps.
- Support ongoing sanctions, terrorist property, politically exposed person ("PEP"), and head of international organization screening.
- Maintain appropriate records of AML reviews, escalations, decisions, and regulatory reporting activities.
- Maintain review records, approvals, supporting documentation, and version-control records for marketing materials.
- Support the investigation and resolution of complaints in accordance with CIRO requirements and internal complaint-handling procedures.
- Maintain complete and accurate complaint records, including investigation steps, correspondence, resolutions, and corrective actions.
- Document findings and escalate exceptions or potential concerns to the appropriate Compliance supervisor.
- Support follow-up reviews with Trading, Operations, Client Services, and other relevant departments.
- Maintain trade surveillance records and assist with periodic trend analysis and reporting.
- Support responses to inquiries, information requests, sweeps, examinations, and audits conducted by CIRO, the CSA, FINTRAC, or other regulatory authorities.
Requirements
- Experience reviewing client documentation, transactions, reports, or marketing materials would be an asset.
- Ability and willingness to complete required training, proficiency requirements, and CIRO registration requirements associated with the role.
- Sound judgment and the ability to recognize when a matter requires escalation.
- Ability to interpret regulatory requirements and apply them to practical business situations.
- Ability to work independently while seeking appropriate guidance on complex or sensitive matters.
- Assist with the preparation and submission of required FINTRAC reports under the supervision of the CAMLO, including: Large Cash Transaction Reports ("LCTRs")
- Subject to obtaining the required CIRO Supervisor registration and internal approval, act as a backup Supervisor for account-opening approvals.
- Monitor approved content to ensure required disclosures, risk statements, and regulatory language remain accurate and current.
Nice to have
- About Moomoo Canada Financial Inc. (MFC) Moomoo Canada Financial Inc. (MFC) is a subsidiary of FUTU Holdings Inc. (NASDAQ: FUTU), a global leader in online brokerage and wealth management solutions.
- Moomoo is one of the most trusted and innovative retail trading platforms, serving over 24 million active users worldwide.
- Having launched in Canada just over a year ago, MFC has experienced significant growth and success.
- Based in Toronto, with convenient access to the city's Line 1 TTC subway, our new office boasts bright, open spaces and spectacular views of the city.
- Whether you're new to investing or a seasoned trader, Moomoo offers the tools to trade smarter and grow faster.
- This is a developmental role with increasing responsibilities.
- AML and Anti-Terrorist Financing Compliance Conduct AML and ATF transaction monitoring and review system-generated alerts for potentially unusual or suspicious activity.
- Escalate unusual or potentially suspicious transactions to the CAMLO or designated Compliance supervisor.
This listing is sourced directly from Moomoo's careers page and normalized into a canonical job model.