Compliance Analyst (Brokerage)

moomoo•North York, ON

5d•Onsite

About The Position

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.

Requirements

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.
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.

Nice To Haves

Previous experience in financial services, securities, fintech, banking, AML, compliance, operations, risk, or a related field.
Experience reviewing client documentation, transactions, reports, or marketing materials.
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.

Responsibilities

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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.