Moomoo is an investment and trading platform that empowers global investors with pro-grade, easy-to-use tools, data, and insights.
It provides users with the necessary information and technology to make more informed investment decisions.
Investors have access to advanced charting tools, technical analytics, and Level 2 data.
Moomoo grows with its users, cultivating a community where investors share, learn, and grow together in one place.
Moomoo provides free access to investment courses, educational materials, and interactive events that any investor, at any level, can gain from.
Users can join forum discussions, trading topics, and seminars to better their investment knowledge and insights.
Founded in Silicon Valley, California, moomoo operates as a global investment platform across multiple countries, including Singapore, Australia, Japan, and Malaysia.
As a subsidiary of a Nasdaq Listed company, moomoo proudly serves as a global strategic partner of the New York Stock Exchange (NYSE), garnering numerous international accolades.
More than just an investment platform, moomoo is your trusted companion on an enriching investment journey.
If you are looking to be a part of one of the most trend-setting fintech company in the industry and contributing to the revolution of how investors are investing?
You are looking at the right place to be as we are currently hiring!
Compliance Officer (Contract) Responsibilities Regulatory Compliance: Assist in staying up-to-date with all applicable laws, regulations, and guidelines issued by relevant regulatory authorities (e.g., SC and Bursa).
Help ensure the company's activities align with these requirements.
Trade Surveillance: Support the design and implementation of trade surveillance systems to detect and prevent market abuse, insider trading, and other fraudulent activities.
Review daily and monthly alerts fired by the internal Surveillance System, conduct preliminary investigations on compliance red flags, and report suspicious cases to the senior compliance team.
Assist in maintaining and improving the rule settings of the trade surveillance program.
AML/CFT Compliance: Assist in developing and managing the company's AML/CFT policies and procedures, including customer due diligence (CDD) and Know Your Customer (KYC) processes.
Help perform AML checks and ongoing monitoring for new and existing accounts.
Risk Assessment: Participate in periodic risk assessments and compliance reviews to identify potential compliance vulnerabilities and assist in recommending appropriate risk mitigation strategies.
Reporting and Documentation: Help prepare and submit regular compliance reports to management, highlighting any significant compliance issues and recommending remedial actions.
Assist in maintaining accurate and up-to-date compliance documentation.
Training and Education: Support compliance training and awareness programs to foster a culture of compliance throughout the organization.
Regulatory Liaison: Assist in regulatory inspections and audits.
Support internal and external audits, inspections, and investigations from auditors, Exchanges, and Regulators.
Internal Controls: Collaborate with internal stakeholders to help design and implement robust internal controls that promote compliance with regulatory requirements and company policies.
Incident Management: Assist in investigating and managing any compliance-related incidents, taking appropriate corrective actions and reporting incidents as required.
Other Tasks: Perform other ad-hoc tasks and projects related to compliance as assigned from time to time.
Requirements Requirements Bachelor's Degree in Legal/Compliance or equivalent.
1 year of working experience in the related field.
Fresh graduates with relevant internships or projects are encouraged to apply.
Basic knowledge of business compliance, general compliance & trade surveillance.
Familiarity with the Hong Kong market is an added advantage.
Understanding of the requirements from relevant regulatory authorities, especially SC and Bursa.
Basic understanding of regulatory requirements in market surveillance.
Good command of English, Malay, and Chinese languages (both oral and written skills).
Independent with a convincing level of maturity, meticulous, result-oriented, self-motivated, and the ability to work under pressure.
Must be a team player with a lively and cheerful personality, a strong sense of responsibility, strong communication and interpersonal skills, and strong observation and adaptability.
Basic knowledge of a wide variety of financial instrument types, including equities, fixed income, rates, structured products, derivatives, foreign exchange leverage products, and VA. Benefits We offer a comprehensive and holistic work experience and package as follows: Competitive compensation & benefits.
Fun-loving and diverse work environment.
Business casual work attire every day.
Please note that only short-listed candidates will be contacted.
Thank you.