# Compliance Manager (Mat Leave Cover)

**Company:** [moomoo](http://jobs.workable.com/companies/rYBPx6Li26wNSnbH8JV4qn.md)
**Location:** Sydney, Australia
**Workplace:** on site
**Employment type:** Full-time
**Department:** AU Branch

[Apply for this job](http://jobs.workable.com/view/687527e3-11e2-45cb-bff5-61d0130238f2)

## Description

-   Support 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

## 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