# Senior Compliance Officer (Mat Leave Cover)

> moomoo · Sydney, Australia · Full-time · Posted 2026-05-07

**Workplace:** on_site

**Department:** Compliance Team

## Description

-   Support the compliance program to ensure adherence to relevant regulatory registrations and licensing requirements within the securities industry
-   Assist in providing guidance on AML/CTF and sanctions obligations, supporting the Money Laundering Reporting Officer (MLRO)
-   Participate in AML investigations and assist in the timely submission of Suspicious Matter Reports (SMRs) to AUSTRAC
-   Conduct enhanced due diligence (EDD) on high-risk customer relationships to ensure regulatory compliance
-   Assist in fraud and scam investigations, ensuring appropriate tracking, escalation, and reporting
-   Support the investigation and resolution of customer complaints, compliance incidents, and potential breaches, including IDR and EDR matters
-   Contribute to the development and delivery of compliance training and awareness initiatives
-   Draft, review, and update compliance policies, procedures, and internal guidelines to ensure alignment with regulatory requirements and business practices
-   Assist in maintaining and enhancing the compliance policy framework, including periodic reviews and version control
-   Support the compliance monitoring program by identifying risks and assisting in the implementation of appropriate controls
-   Monitor regulatory developments and assess their impact on the business and compliance framework
-   Provide compliance support to product, technology, and front/middle/back office teams to ensure 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

## Apply

[Apply at moomoo](https://apply.workable.com/moomoo/j/C7E0DC7126/apply)

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