About Moomoo Canada Financial Inc. (MFC)Moomoo Canada Financial Inc. (MFC) is a subsidiary of FUTU Holdings Inc. (NASDAQ: FUTU). Moomoo is a retail trading platform serving millions of users with technology and client experience for trading and investing.Based in Toronto, MFC is growing its team and seeks a dynamic, growth-minded Investment Representative.Position SummaryThe 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. This is a developmental role reporting to the Chief Compliance Officer (CCO) and working with the Chief Anti-Money Laundering Officer (CAMLO). The role will evolve with the candidate’s regulatory knowledge, technical capabilities, and required registrations.Key ResponsibilitiesAML and Anti-Terrorist Financing (ATF) compliance: monitor system alerts for unusual or suspicious activity; document reviews and findings; escalate as appropriate.Assist with FINTRAC reporting under CAMLO supervision, including LCTRs, LVCTRs, STRs, and EFTRs.Support sanctions, terrorist property, Politically Exposed Persons (PEP), and international organization screening; assist with enhanced due diligence (EDD) reviews and periodic KYC refreshes.Maintain records of AML reviews, escalations, and regulatory reporting activities.Client onboarding and account supervision: review documentation for completeness and compliance with KYC, suitability, identity verification, and AML requirements; follow up on missing information; assist with higher-riskor complex applications; backup Supervisorfor account-opening approvals where permitted.Marketing and communications compliance: review marketing materials, ads, social content, client communications, campaigns, and website content for regulatory compliance; provide feedback to Marketing, Product, and other teams; maintain records and ensure disclosures are accurate.Client complaint handling: log and classify complaints, gather records, support investigations, monitor timelines, and maintain complete complaint files.Trade surveillance and monitoring: assist with surveillance reviews, assess for trading irregularities or regulatory concerns, document findings,



and escalate as needed.Regulatory filings and examinations: assist with filings, responses to inquiries, and maintenance of regulatory documentation; track deadlines and ensure timely submissions.Policies, procedures, and controls: assist with drafting and updating policies, monitor regulatory developments, communicate changes, and maintain control inventories and logs.Crypto asset compliance: support crypto activities, onboarding controls, travel rule compliance, and FINTRAC reporting; monitor crypto asset activity against approved lists; assist with due diligence and risk assessments; maintain related records.Registrant and employee compliance: monitor CE requirements, verify trainings, support disclosures and pre-clearance, maintain confidential records.Compliance risk assessment and testing: assist with annual risk assessment and testing program; perform sample reviews and document findings; help identify control gaps and remediation status.General compliance support: respond to routine questions, collaborate with multiple departments, assist with training and investigations, maintain confidentiality, and perform other duties as assigned by the CCO or CAMLO.QualificationsPost-secondary degree or diploma in business, finance, accounting, law, criminology, risk management, compliance, or related field.Any prior experience in financial services, AML, compliance, operations, risk, or related area is preferred.Knowledge of or interest in CIRO rules, Canadian securities regulation, FINTRAC AML/ATF, KYC, sanctions/PEP screening, complaint handling, trade surveillance, and crypto asset regulatory requirements.Experience reviewing client documentation, transactions, reports, or marketing materials is an asset.Relevant certifications (e.G., CSC, CPCE, CAMS)



are an asset.Willingness to complete required training and CIRO registration requirements for the role.Skills and CompetenciesStrong attention to detail and accurate record-keeping.Positive judgment with escalation when needed.Analytical, investigative, and problem-solving abilities.Ability to interpret regulatory requirements and apply them practically.Clear written and verbal communication.Organizational and time-management skills; ability to managemultiple priorities and confidential matters.Collaborative, service-oriented approach; ability to work independently with guidance on complex matters.Curiosity and willingness to develop regulatory and technical knowledge.Integrity, professionalism, discretion, and accountability.Development ExpectationsThe responsibilities are broader than current scope and designed for professional growth. Duties are introduced progressively based on business needs, demonstrated competency, training completion, and regulatory approvals. The analyst will receive supervision and training to gradually manage more complex reviews and responsibilities.What We OfferCompetitive salary, comprehensive benefits, and performance-based incentivesProfessional growth opportunities in a fast-growing fintech companyOffice in mid-town Toronto with city viewsWork in a global leader in online brokerage and wealth managementHow to ApplyIf you are a results-driven individual with a passion for operations and technology in the trading world, please submit your resume and cover letter outlining your relevant experience and why you are the ideal candidate. You may contact us via the company site or the provided application portal.EEO and PrivacyMoomoo Financial Canada is an equal opportunity employer committed to fostering an inclusive and diverse workplace. We welcome applicants from all qualified backgrounds. The firm provides accommodations throughout the recruitment process as required by law. All employment offers are contingent on regulatory, licensing, or background checks as applicable. By applying, you acknowledge that your personal information will be collected and used for recruitment purposes in accordance with applicable privacy laws.Important:This description may reference company materials and policies. For accuracy and to protect applicants, please verify details on the official job posting. Note: Fake job posts are not endorsed by Moomoo. If you encounter suspicious activity, report it to local authorities or the Canadian Anti-Fraud Centre.#J-18808-Ljbffr

📌 Compliance Analyst - $53,635 - $78,900 A Year (Winnipeg)
🏢 Burgundy Asset Management
📍 Winnipeg