Moomoo Canada Financial Inc. (MFC) is a subsidiary of FUTU Holdings Inc., a global leader in online brokerage and wealth‑management solutions. We offer an advanced, user‑friendly trading platform that empowers do‑it‑yourself traders to take control of their financial futures. Based in Toronto and accessible via Line 1 TTC subway, our new office provides bright, open spaces with spectacular city views.

We are looking to expand our team with a dynamic, growth‑mindset Compliance Analyst who will support the firm’s regulatory compliance program and help maintain effective controls across anti‑money laundering and anti‑terrorist financing, client onboarding, marketing review, complaint handling, trade surveillance, regulatory reporting, and general compliance operations.

Position Summary
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), FINTRAC, and other regulatory authorities.

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 Cash Transaction Reports (LCTRs)

Large Virtual Currency Transaction Reports (LVCTRs)

Suspicious Transaction Reports (STRs)

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

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

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

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

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

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

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

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, organise, review, and maintain documentation required for regulatory responses

Track regulatory deadlines and assist in ensuring submissions are complete, accurate, and delivered on time

Maintain organised 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

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

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 summarise 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

General Compliance Support

Respond to routine compliance questions from internal stakeholders and escalated 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

Qualifications

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

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

Skills and Competencies

Strong attention to detail and commitment to maintaining accurate records

Sound judgement and the ability to recognise 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 organisational 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

Development Expectations
The responsibilities of this position are broader than the employee’s current scope and are intended to provide a structured opportunity for professional growth. 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, and the employee will be expected to gradually develop the knowledge and experience necessary to independently manage more complex compliance reviews and responsibilities over time.

Benefits

Market-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 is a global leader in online brokerage and wealth management

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 racialised 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 authorised 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.

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📌 Compliance Analyst (Brokerage) (Ontario)
🏢 Moomoo Canada
📍 Ontario