Compliance Analyst (Brokerage)

Job description

# Compliance Analyst (Brokerage) > moomoo · North York, Canada (Hybrid) · Full-time · Posted 2026-07-16 **Workplace:** hybrid ## Description **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 we continue to scale, we are seeking to expand our team with a dynamic, growth-mindset Investment Representative. At Moomoo Financial Canada Inc., we’re not just building a brokerage — we’re redefining how Canadians invest. As part of a global fintech leader, we equip investors with cutting-edge technology, market intelligence, and client experience that stands apart. Whether you’re new to investing or a seasoned trader, Moomoo offers the tools to trade smarter and grow faster. ### Position Summary The Compliance Analyst supports the firm’s regulatory compliance program and assists in maintaining effective controls across anti-money laundering and anti-terrorist financing, client onboarding, marketing review, complaint handling, trade surveillance, regulatory reporting, and general compliance operations. Reporting to the Chief Compliance Officer (“CCO”) and working closely with the Chief Anti-Money Laundering Officer (“CAMLO”), the Compliance Analyst helps ensure that the firm’s activities comply with applicable requirements established by the Canadian Investment Regulatory Organization (“CIRO”), the Canadian Securities Administrators (“CSA”), the Financial Transactions and Reports Analysis Centre of Canada (“FINTRAC”), and other applicable regulatory authorities. This is a developmental role with increasing responsibilities. The successful candidate will initially perform duties under the supervision and direction of senior Compliance personnel and will gradually assume greater ownership as their regulatory knowledge, technical capabilities, and required registrations develop. ### Key Responsibilities ### AML and Anti-Terrorist Financing Compliance - Conduct AML and ATF transaction monitoring and review system-generated alerts for potentially unusual or suspicious activity. - Document alert reviews, investigative findings, supporting information, and recommended next steps. - Escalate unusual or potentially suspicious transactions to the CAMLO or designated Compliance supervisor. - Assist with the preparation and submission of required FINTRAC reports under the supervision of the CAMLO, including: - Large Cash Transaction Reports (“LCTRs”); - Large Virtual Currency Transaction Reports (“LVCTRs”); - Suspicious Transaction Reports (“STRs”); and - Electronic Funds Transfer Reports (“EFTRs”). - Support ongoing sanctions, terrorist property, politically exposed person (“PEP”), and head of international organization screening. - Assist with enhanced due diligence reviews and periodic KYC refreshes for higher-risk clients and accounts. - Maintain appropriate records of AML reviews, escalations, decisions, and regulatory reporting activities. ### Client Onboarding and Account Supervision - Review client account documentation for completeness, accuracy, and compliance with applicable KYC, suitability, identity verification, and AML requirements. - Identify account-opening deficiencies, inconsistencies, elevated risk factors, or other matters requiring further review. - Follow up with internal teams to obtain missing documentation or clarification. - Assist with the review of higher-risk, complex, or escalated account applications. - Subject to obtaining the required CIRO Supervisor registration and internal approval, act as a backup Supervisor for account-opening approvals. ### Marketing and Communications Compliance - Review marketing materials, advertisements, social media content, client communications, promotional campaigns, and website content for compliance with applicable CIRO rules, CSA guidance, internal policies, and approval requirements. - Identify potentially misleading, inaccurate, unbalanced, or insufficiently supported statements. - Provide practical compliance feedback to Marketing, Product, and other business teams. - Maintain review records, approvals, supporting documentation, and version-control records for marketing materials. - Monitor approved content to ensure required disclosures, risk statements, and regulatory language remain accurate and current. ### Client Complaint Handling - Receive, log, classify, and track client complaints and potential complaint matters. - Assist in gathering relevant account records, correspondence, transaction information, and internal documentation. - Support the investigation and resolution of complaints in accordance with CIRO requirements and internal complaint-handling procedures. - Monitor complaint response timelines and escalate potential delays or material issues. - Maintain complete and accurate complaint records, including investigation steps, correspondence, resolutions, and corrective actions. - Assist with identifying complaint trends, recurring issues, and potential systemic concerns. ### Trade Surveillance and Monitoring - Assist with daily, periodic, and exception-based trade surveillance reviews. - Review alerts and reports for potential unsuitable trading, manipulative activity, unusual trading patterns, conflicts of interest, or other regulatory concerns. - 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. ### Regulatory Filings and Examinations - Assist with regulatory filings, registrations, disclosures, and other required submissions. - Support responses to inquiries, information requests, sweeps, examinations, and audits conducted by CIRO, the CSA, FINTRAC, or other regulatory authorities. - Gather, organize, review, and maintain documentation required for regulatory responses. - Track regulatory deadlines and assist in ensuring submissions are complete, accurate, and delivered on time. - Maintain organized records of regulatory correspondence, commitments, findings, and remediation activities. ### Policies, Procedures, and Compliance Controls - Assist with drafting, reviewing, maintaining, and updating compliance policies, procedures, manuals, forms, checklists, and control documents. - Monitor regulatory developments and support the assessment of their impact on the firm’s operations. - Assist with communicating policy and regulatory changes to relevant business teams. - Support the implementation and documentation of new or enhanced compliance controls. - Maintain compliance calendars, control inventories, issue logs, and regulatory tracking tools. - Assist with periodic employee compliance attestations, certifications, and policy acknowledgements. ### Crypto Asset Compliance - Support the firm’s ongoing and planned crypto asset activities and expansion initiatives. - Assist with the development and implementation of crypto client onboarding controls. - Support compliance with applicable Travel Rule requirements. - Assist with virtual currency transaction monitoring and applicable FINTRAC reporting. - Monitor transactions and product activity against the firm’s pre-approved crypto asset list. - Escalate activity involving unapproved, restricted, or higher-risk crypto assets. - Support enhanced due diligence and risk assessments relating to crypto asset clients, wallets, transactions, products, and counterparties. - Maintain appropriate records relating to crypto asset approvals, monitoring, investigations, and escalations. ### Registrant and Employee Compliance - Monitor registrant continuing education requirements and assist with maintaining accurate CE completion records. - Follow up with registrants regarding upcoming or outstanding CE obligations. - Support employee and registrant personal trading disclosure, pre-clearance, and monitoring processes, where applicable. - Assist with outside activity disclosures, conflicts-of-interest reviews, annual attestations, and other employee compliance requirements. - Maintain confidential and accurate registrant and employee compliance records. ### Compliance Risk Assessment and Testing - Assist the CCO with the annual compliance risk assessment. - Support the development and execution of the annual compliance testing and monitoring program. - Perform sample-based reviews, document testing procedures, and summarize findings. - Assist with identifying control gaps, regulatory risks, and opportunities for process improvement. - Track remediation plans, responsible parties, deadlines, and completion status. - Prepare reports, summaries, and supporting documentation for senior management and regulatory review. ### General Compliance Support - Respond to routine compliance questions from internal stakeholders and escalate complex matters as appropriate. - Collaborate with Operations, Client Services, Product, Marketing, Finance, Technology, Risk, Legal, and other departments. - Assist with compliance training and regulatory awareness initiatives. - Support internal investigations and special compliance projects as assigned. - Maintain strict confidentiality when handling client, employee, regulatory, and investigative information. - Perform other compliance-related duties and responsibilities as assigned by the CCO, CAMLO, or designated supervisor. ## Requirements ### Qualifications - Post-secondary degree or diploma in business, finance, accounting, law, criminology, risk management, compliance, or a related discipline. - Previous experience in financial services, securities, fintech, banking, AML, compliance, operations, risk, or a related field is preferred. - Knowledge of, or a strong interest in learning: - CIRO rules and regulatory expectations; - Canadian securities regulation; - FINTRAC AML and ATF requirements; - KYC, client identification, suitability, and enhanced due diligence; - Sanctions and PEP screening; - Complaint handling; - Trade surveillance; and - Crypto asset regulatory requirements. - Experience reviewing client documentation, transactions, reports, or marketing materials would be an asset. - Relevant industry courses or certifications, such as the Canadian Securities Course, Conduct and Practices Handbook Course, Chief Compliance Officers Qualifying Examination, CAMS, or similar credentials, would be considered an asset. - Ability and willingness to complete required training, proficiency requirements, and CIRO registration requirements associated with the role. ### Skills and Competencies - Strong attention to detail and commitment to maintaining accurate records. - Sound judgment and the ability to recognize when a matter requires escalation. - Strong analytical, investigative, and problem-solving skills. - Ability to interpret regulatory requirements and apply them to practical business situations. - Clear and professional written and verbal communication skills. - Strong organizational and time-management capabilities. - Ability to manage multiple priorities, deadlines, and confidential matters. - Collaborative and service-oriented approach when working with business stakeholders. - Ability to work independently while seeking appropriate guidance on complex or sensitive matters. - Curiosity, initiative, and a demonstrated willingness to develop new regulatory and technical knowledge. - High standards of integrity, professionalism, discretion, and accountability. ### Development Expectations The responsibilities of this position are broader than the employee’s current scope and are intended to provide a structured opportunity for professional growth. Duties will be introduced progressively based on business needs, demonstrated competency, completion of required training, and applicable regulatory approvals. The Compliance Analyst will receive appropriate supervision, guidance, and training from the CCO, CAMLO, and other designated Compliance personnel. The employee will be expected to gradually develop the knowledge and experience necessary to independently manage more complex compliance reviews and responsibilities over time. ## Benefits **What We Offer** - Competitive salary, comprehensive benefits, and performance-based incentives - Opportunities for professional growth in a fast-growing fintech company - Beautiful office space in mid-town Toronto with stunning city views - Work in a company that’s a global leader in online brokerage and wealth management **How to Apply** If you are a results-driven individual with a passion for operations and technology in the trading world, we want to hear from you. Please submit your resume and cover letter outlining your relevant experience and why you are the ideal candidate for this role. Join Moomoo Canada and help shape the future of retail trading in Canada! Thank you for your interest in Moomoo Financial Canada. If you would like to download our App and give it a try, you do not need to deposit funds and can explore what the future of investing looks like. Click [](https://www.moomoo.com/ca/download) to download our App now. Thank you for your interest in Moomoo Financial Moomoo Canada Human Resources Team **Disclaimer:** **Equal Opportunity** Moomoo Financial Canada (MFC) is an equal opportunity employer committed to fostering an inclusive and diverse workplace. WE welcome applications from all qualified individuals, including but not limited to those from racialized communities, Indigenous peoples, persons with disabilities and members of the LGBTQ+ community. MFC is committed to providing reasonable accommodations throughout the recruitment process in accordance with the Accessibility For Ontarians with Disabilities Act (AODA) and the Ontario Human Rights Code. If you require accommodation at any stage, please let us know, and we will work with you to meet your needs. All employment offers are contingent upon meeting any applicable regulatory, licensing, or background check requirements. Candidates must be legally authorized to work in Canada at the time of application. By applying to this position, you acknowledge that your personal information will be collected and used for recruitment purposes in accordance with applicable privacy laws. **Artificial Intelligence (AI) Usage** Moomoo Financial Canda (MFC) values fairness, transparency, and privacy in our recruitment process. Please not that cetain stages of our hiring process may involve the use of Artificial Intelligence (AI) or automated tools to assist our recruiters in screening applications and assessing qualifications. These tools are designed **only to support human decision-making and do not make final hiring decisions**. All decisions regarding interviews, offers, and employment are made by our hiring team. Your personal information will be handled in compliance with Ontario's privacy and employment laws, including the Ontario Human Rights Code, the Employment Standards Act, and applicable privacy legislation. **Warning about fake job posts**: Please be aware of fraudulent job postings by persons not affiliated with Moomoo Financial Inc., or their affiliates. Criminals may use fraudulent job postings to obtain your personally identifiable information and/or financial information to steal your identity and/or money. All communications to you will come from a business email address. We do not hire through text message, social media, or email alone, and any interviews will be conducted in person or through a video call. We will not ask you for bank account information nor ask you to pay anything during the hiring process. If you see suspicious activity or believe that you have been the victim of a job posting scam, you should report it to your local police or call the Canadian Anti-Fraud Centre at 1-888-495-8501. ## Apply [Apply at moomoo](https://apply.workable.com/moomoo/j/38593B509D/apply) --- Powered by [Workable](https://www.workable.com)