Compliance Officer

2 weeks ago


North York, Canada Moomoo Financial Canada Inc. Full time

Moomoo Financial Canada Inc. (Moomoo CA), a next-generation broker-dealer, combines both technology with on-the-go trading to enhance the overall trading experience. Moomoo CA's parent company, FUTU Holdings Limited (FUTU), is listed on Nasdaq and backed by world-class strategic and venture capital investors including Tencent, Sequoia Capital, and Matrix Partners.

FUTU has an international presence across key financial markets including United States, Hong Kong, Singapore, Japan and Australia. We have an opening for a Compliance Officer who will work closely alongside various stakeholders, teams, and industry partners to drive multiple projects and set processes to uncover growth opportunities and ultimately expand the sales funnel.**Responsibilities**:_
- Provides advice and guidance to assigned business/group on implementation of solutions to manage regulatory risk based on an understanding of business operations and stakeholder needs.
- Builds effective professional relationships with business line, other internal/external stakeholders and regulators on the initial stages of investigations.
- Conducts and/or effectively challenges risk assessments for business/group and assists to identify more effective compliance controls.
- Performs and/or effectively challenges monitoring and testing activities to ensure compliance regulatory compliance controls are operating and aligned to regulatory requirements. Supports root cause analysis in response to material control failures in business/group.
- Develop, review and enforce compliance programmes in accordance with the policies and guidelines of the relevant regulatory bodies.
- Performs and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned to regulatory requirements. Supports root cause analysis in response to material control failures in business/group.
- Consults on new products, services and automated systems to assist with incorporating compliance requirements into these initiatives.
- Assists business group management in communicating and implementing changes to applicable regulatory policies and procedures.
- Provides regulatory perspective on business group’s sales and marketing materials.
- **Requirements and skills**:_
- Typically between 3 - 5 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience.
- Recognized compliance certificate or equivalent preferred. Proficient knowledge of consumer protection and related marketing and advertising guidelines.
- Strong knowledge of business operations & procedures, and activities involving documented practices.
- Verbal & written communication skills
- Analytical and problems solving skills

If you are looking to be a part of one of the leading fintech companies in the industry and creating a better overall investing experience for users, then this is the right place for you

**Job Types**: Full-time, Permanent

**Benefits**:

- Dental care
- Extended health care
- Life insurance
- Paid time off
- Vision care

Flexible Language Requirement:

- French not required

Schedule:

- Monday to Friday

Supplemental pay types:

- Bonus pay

Ability to commute/relocate:

- North York, ON M2N 6L7: reliably commute or plan to relocate before starting work (preferred)

**Education**:

- Bachelor's Degree (preferred)

**Experience**:

- Compliance: 3 years (preferred)

Work Location: In person

Expected start date: 2023-07-10


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