Senior Compliance Officer

About Moomoo Canada Financial Inc. (MFC)

Moomoo Canada Financial Inc. (MFC), a CIRO-regulated investment dealer, 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 Investment Representative.

About the Role

We are seeking an experienced and hands-on Senior Compliance Officer to join our growing Compliance team. Reporting to the Chief Compliance Officer (CCO), this individual will play a key leadership role in overseeing compliance operations across securities and emerging asset classes as we expand our business scope.

Currently, Moomoo Financial Canada operates within the Canadian securities industry, with registration as an investment dealer under CIRO.  As we continue to innovate, the scope of this role will evolve to include new financial products and technologies that represent the future of the digital brokerage landscape and provide strategic input at the governance level by supporting CCO reporting to the UDP and Board.

This position is ideal for a compliance professional who has deep experience in the securities sector, proven leadership in AML/ATF compliance, and a forward-looking approach to emerging financial technologies.

Key Responsibilities

1.     Compliance Oversight and Governance

• Support the CCO in maintaining and enhancing the company's compliance program under CIRO and FINTRAC regulations.
• Oversee daily AML/ATF operations and ensure adherence to the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA).
• Act as the Deputy CAMLO, or assume the role where appropriate, ensuring effective oversight of AML/ATF obligations.
• Provide compliance guidance to business leaders and assist in the assessment of new business lines and product offerings.

2.     Policy Development and Implementation

• Lead the design, documentation, and implementation of policies and procedures that align with regulatory expectations.
• Monitor and respond to changes in regulatory requirements and industry best practices.
• Partner with the CCO to ensure the company's compliance framework is scalable and future-ready.
• Ensure all compliance policies, testing results, and supervisory records are maintained in accordance with CIRO IDPC Rules and internal record retention requirements.

3.     Risk Management & Monitoring

• Conduct ongoing compliance monitoring, testing, and risk assessments across business lines.
• Oversee the company's transaction monitoring processes, including escalation and reporting associated FINTRAC.
• Support the design and maintenance of risk models and frameworks tailored to both securities and potential crypto activities.

4.     AML/ATF and Regulatory Reporting

• Oversee the preparation and filing of Suspicious Transaction Reports (STRs), Large Virtual Currency Transaction Reports (LVCTRs), and other regulatory submissions.
• Liaise with FINTRAC, CIRO, and other regulatory bodies during audits, inquiries, and examinations.

5.     Emerging Asset Compliance (Crypto Readiness)

• Provide compliance input as the firm explores opportunities in crypto-related activities.
• Leverage tools utilized for blockchain analytics, travel rule compliance, and transaction tracing.  Ensure deep understanding of Travel Rule obligations and crypto AML frameworks in Canada.
• Assess custody arrangements, cold storage controls, and operational due diligence processes should the firm pursue registered cryptoasset activities. Evaluate counterparty risk and compliance risk across VASPs, custodians, liquidity providers, and blockchain analytic vendors.

6.     Leadership and Collaboration

• Partner with internal teams (Legal, Risk, Operations, IT) to ensure compliance integration across all business operations.
• Provide mentorship and guidance to compliance analysts and operations team members.
• Demonstrate sound escalation judgment, ensuring timely reporting of significant issues to the CCO and UDP in accordance with CIRO Rules,
• Foster a proactive and collaborative compliance culture.

Experience: Minimum 5 years of experience in the Canadian securities or investment dealer industry, preferably within an OEO / discount brokerage environment.

CAMLO Experience: Has previously served as a CAMLO or alternate CAMLO for at least 1–2 years in a regulated Canadian entity.

Regulatory Knowledge: In-depth understanding of CIRO, FINTRAC, PCMLTFA, and related Canadian AML/ATF and securities regulations.

Technical Expertise: Experience with compliance monitoring systems and tools – familiarity with cryptocurrency compliance tools (Chainalysis, NotaBene, etc.) is considered a strong asset.

Crypto Familiarity: Awareness of the Travel Rule, VASPs, and AML practices within licensed Canadian crypto platforms is an advantage. Familiarity with FATF recommendations, blockchain tracing, and crypto forensics.  Exposure to both fiat and crypto payment rails, including decentralized exchanges or on/off ramps.

Soft Skills: Strong leadership, analytical, and communication skills; ability to collaborate across departments and exercise sound judgment under regulatory pressure.

Certifications (Preferred):

• CSC, CPH, IDSC, DFOL, OSC, Supervisory licensed (Securities/Options)
• CAMS (Certified Anti-Money Laundering Specialist), or
• CCAS (Certified Cryptoasset Anti-Financial Crime Specialist), or
• Other recognized AML/CTF certifications.

• 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

Disclaimers:

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.