Markets surveillance compliance officer

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. 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. 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. 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.
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.
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 Virtual Currency Transaction Reports (“LVCTRs”);
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.
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.
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.
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
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.
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.

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.
CIRO rules and regulatory expectations;
FINTRAC AML and ATF requirements;
Complaint handling;
Trade surveillance; 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.
Ability to interpret regulatory requirements and apply them to practical business situations.
Curiosity, initiative, and a demonstrated willingness to develop new regulatory and technical knowledge.
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.

Competitive salary, comprehensive benefits, and performance-based incentives
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
Join Moomoo Canada and help shape the future of retail trading in Canada!

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. 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
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