Role OverviewWe are seeking a motivated and detail-oriented Compliance Officer to join our growing compliance team. In this broad-based role, you will support a wide range of day-to-day regulatory compliance activities across Moomoo AU, including regulatory matters, fraud and scam investigations, breach and incident management, marketing compliance, complaints and dispute resolution.This position is offered as an initial 12-month fixed-term contract, with the potential for a further 12-month extension subject to business needs and performance.This is an excellent opportunity for an early-career compliance professional to gain broad, hands-on exposure across multiple areas of regulatory compliance within the securities industry, while developing practical experience in a fast-paced fintech environment. BenefitsCompetitive salary and bonus schemeOffice gym membershipGroup private health insuranceUnlimited training and growth opportunities in the investment industryKey ResponsibilitiesSupport day-to-day compliance activities across the business to ensure adherence to applicable regulatory and licensing requirements within the securities and financial services industry, including AFSL obligations.Maintain a sound working knowledge of relevant financial services legislation, regulatory requirements and ASIC Regulatory Guides, and monitor regulatory developments relevant to the business.Assist with fraud and scam-related investigations and escalations, including reviewing relevant information, coordinating with internal and external stakeholders, maintaining appropriate records, and ensuring matters are escalated and reported appropriately.Maintain compliance registers and records, including complaints, incidents, breaches, regulatory matters and other compliance registers, ensuring information is accurate, complete, up to date and appropriately documented.Contribute to breach and incident management processes, including initial assessment, investigation, documentation, escalation, remediation tracking and compliance reporting.Review business and marketing materials from a regulatory compliance perspective, including consideration of applicable requirements and regulatory guidance such as ASIC RG 234, and provide practical compliance feedback to relevant stakeholders.Manage and support customer complaints in accordance with Moomoo AU's Internal Dispute Resolution framework and ASIC Regulatory Guide 271, including assessment, investigation, preparation of written responses and timely escalation of complex or unresolved matters.Support AFCA matters where required, including gathering relevant evidence, preparing responses, coordinating internal input and maintaining appropriate records throughout the dispute resolution process.Maintain accurate and comprehensive complaint records and support the collection, validation, analysis and reporting of complaints data in accordance with ASIC reporting requirements.Provide practical compliance support to product, technology, operations and front/back-office teams to support regulatory alignment in new and existing business activities.Support internal audits, external reviews and regulatory inquiries, including coordinating information and documentation and following up on remediation actions.Manage competing compliance priorities effectively, identify matters requiring urgent attention, and escalate material, sensitive or time-critical issues promptly to appropriate stakeholders.Requirements1-2 years' experience in risk & compliance, regulatory compliance, complaints handling, or similar role (preferably in financial services or fintech)Familiarity with the Australian financial services regulatory framework, including relevant legislation, regulatory requirements and ASIC Regulatory Guides. Knowledge of RG 234, RG 271 and AFSL obligations will be highly regarded.Strong verbal and written communication skills - able to explain complex regulatory and compliance matters clearly and professionally.Experience in complaints handling and AFCA matters, including preparing written responses, coordinating evidence and managing escalations, will be highly regarded.Strong analytical and problem-solving skills, with excellent attention to detail and the ability to identify potential compliance risks and issues.Strong organisational and prioritisation skills, with the ability to manage multiple matters, meet deadlines and appropriately escalate material, sensitive or time-critical issues.Ability to work effectively in a fast-paced, digital-first environment and collaborate with stakeholders across different business functions.
Role Overview
We are seeking a motivated and detail-oriented Compliance Officer to join our growing compliance team. In this broad-based role, you will support a wide range of day-to-day regulatory compliance activities across Moomoo AU, including regulatory matters, fraud and scam investigations, breach and incident management, marketing compliance, complaints and dispute resolution.
This position is offered as an initial 12-month fixed-term contract, with the potential for a further 12-month extension subject to business needs and performance.
This is an excellent opportunity for an early-career compliance professional to gain broad, hands-on exposure across multiple areas of regulatory compliance within the securities industry, while developing practical experience in a fast-paced fintech environment.
Benefits
- Competitive salary and bonus scheme
- Office gym membership
- Group private health insurance
- Unlimited training and growth opportunities in the investment industry
Key Responsibilities
- Support day-to-day compliance activities across the business to ensure adherence to applicable regulatory and licensing requirements within the securities and financial services industry, including AFSL obligations.
- Maintain a sound working knowledge of relevant financial services legislation, regulatory requirements and ASIC Regulatory Guides, and monitor regulatory developments relevant to the business.
- Assist with fraud and scam-related investigations and escalations, including reviewing relevant information, coordinating with internal and external stakeholders, maintaining appropriate records, and ensuring matters are escalated and reported appropriately.
- Maintain compliance registers and records, including complaints, incidents, breaches, regulatory matters and other compliance registers, ensuring information is accurate, complete, up to date and appropriately documented.
- Contribute to breach and incident management processes, including initial assessment, investigation, documentation, escalation, remediation tracking and compliance reporting.
- Review business and marketing materials from a regulatory compliance perspective, including consideration of applicable requirements and regulatory guidance such as ASIC RG 234, and provide practical compliance feedback to relevant stakeholders.
- Manage and support customer complaints in accordance with Moomoo AU's Internal Dispute Resolution framework and ASIC Regulatory Guide 271, including assessment, investigation, preparation of written responses and timely escalation of complex or unresolved matters.
- Support AFCA matters where required, including gathering relevant evidence, preparing responses, coordinating internal input and maintaining appropriate records throughout the dispute resolution process.
- Maintain accurate and comprehensive complaint records and support the collection, validation, analysis and reporting of complaints data in accordance with ASIC reporting requirements.
- Provide practical compliance support to product, technology, operations and front/back-office teams to support regulatory alignment in new and existing business activities.
- Support internal audits, external reviews and regulatory inquiries, including coordinating information and documentation and following up on remediation actions.
- Manage competing compliance priorities effectively, identify matters requiring urgent attention, and escalate material, sensitive or time-critical issues promptly to appropriate stakeholders.
Requirements
- 1-2 years' experience in risk & compliance, regulatory compliance, complaints handling, or similar role (preferably in financial services or fintech)
- Familiarity with the Australian financial services regulatory framework, including relevant legislation, regulatory requirements and ASIC Regulatory Guides. Knowledge of RG 234, RG 271 and AFSL obligations will be highly regarded.
- Strong verbal and written communication skills - able to explain complex regulatory and compliance matters clearly and professionally.
- Experience in complaints handling and AFCA matters, including preparing written responses, coordinating evidence and managing escalations, will be highly regarded.
- Strong analytical and problem-solving skills, with excellent attention to detail and the ability to identify potential compliance risks and issues.
- Strong organisational and prioritisation skills, with the ability to manage multiple matters, meet deadlines and appropriately escalate material, sensitive or time-critical issues.
- Ability to work effectively in a fast-paced, digital-first environment and collaborate with stakeholders across different business functions.
Moomoo is an investment and trading platform that empowers global investors with pro-grade, easy-to-use tools, data, and insights.We believe investing is a transformative and long-term journey. That's why moomoo empowers investors with the tools and data they need to help unlock their financial potential today and in the future. Whether you're a beginner or a pro, moomoo is here to power your investment journey. With access to a wide range of both user-friendly and advanced features, including real-time market data, technical analysis tools, and in-depth order book data moomoo users can potentially enhance their trading strategies to pursue their goals.Our mission is built on three core values: transparency, innovation, and community. By using these values to guide us, we deliver a comprehensive investment experience for individuals across all trading levels.
Moomoo is an investment and trading platform that empowers global investors with pro-grade, easy-to-use tools, data, and insights.
We believe investing is a transformative and long-term journey. That's why moomoo empowers investors with the tools and data they need to help unlock their financial potential today and in the future. Whether you're a beginner or a pro, moomoo is here to power your investment journey. With access to a wide range of both user-friendly and advanced features, including real-time market data, technical analysis tools, and in-depth order book data moomoo users can potentially enhance their trading strategies to pursue their goals.
Our mission is built on three core values: transparency, innovation, and community. By using these values to guide us, we deliver a comprehensive investment experience for individuals across all trading levels.
