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
Responsibilities
Compliance Monitoring
- Execute the company's day-to-day compliance operations
- Monitor the business activities to ensure alignment with the company's standards
- Conduct regular compliance monitoring and testing to assess adherence to internal policies rules and regulations
Policies and Procedures
- Assist in the implementation of the company's compliance policies and procedures
- Conduct periodic review and update of the policies and procedures to ensure alignment with rules and regulations
Regulatory Compliance
- Keep abreast of the regulatory development and disseminate timely updates to relevant teams in the company
- Assist in conducting the gap analysis on the new or updated regulatory requirements to identify the necessary action and communicate to the relevant stakeholders
Regulatory Reporting
- Assist in preparing reports for submissions to regulatory bodies
Training
- Assist in preparing the material materials and conduct compliance training to employees
Reporting on Compliance Matters
- Report and escalate the compliance issues or breaches to supervisors or head of compliance in a timely manner
Ad-Hoc Duties
- Undertake other related tasks and responsibilities as assigned by the managers / leaders
- Bachelor's Degree or higher in Finance or a related field
- At least 2 years of work experience in the relevant field. Candidates with solid industry experience in stockbroking, financial markets, and securities industries are preferred. Basic knowledge of trade surveillance and AML/CFT is required
- Sufficient knowledge of the requirements from relevant regulatory authorities, particularly the SC and Bursa
- Good command of both English and Malay (oral and written skills). Proficiency in Chinese is an advantage
- Computer literacy with the ability to use relevant programs and products such as Word, Excel, PowerPoint, and more
- Independent, with a high level of maturity; meticulous, result-oriented, self-motivated, and able to work under pressure while being a team player. Possesses a lively and cheerful personality, a strong sense of responsibility, and excellent communication, interpersonal, observational, and adaptability skills
- Professional certifications related to compliance, such as Certified Compliance Professional (CCP), are an advantage
We offer 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.
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
Responsibilities
Compliance Monitoring
- Execute the company's day-to-day compliance operations
- Monitor the business activities to ensure alignment with the company's standards
- Conduct regular compliance monitoring and testing to assess adherence to internal policies rules and regulations
Policies and Procedures
- Assist in the implementation of the company's compliance policies and procedures
- Conduct periodic review and update of the policies and procedures to ensure alignment with rules and regulations
Regulatory Compliance
- Keep abreast of the regulatory development and disseminate timely updates to relevant teams in the company
- Assist in conducting the gap analysis on the new or updated regulatory requirements to identify the necessary action and communicate to the relevant stakeholders
Regulatory Reporting
- Assist in preparing reports for submissions to regulatory bodies
Training
- Assist in preparing the material materials and conduct compliance training to employees
Reporting on Compliance Matters
- Report and escalate the compliance issues or breaches to supervisors or head of compliance in a timely manner
Ad-Hoc Duties
- Undertake other related tasks and responsibilities as assigned by the managers / leaders
- Bachelor's Degree or higher in Finance or a related field
- At least 2 years of work experience in the relevant field. Candidates with solid industry experience in stockbroking, financial markets, and securities industries are preferred. Basic knowledge of trade surveillance and AML/CFT is required
- Sufficient knowledge of the requirements from relevant regulatory authorities, particularly the SC and Bursa
- Good command of both English and Malay (oral and written skills). Proficiency in Chinese is an advantage
- Computer literacy with the ability to use relevant programs and products such as Word, Excel, PowerPoint, and more
- Independent, with a high level of maturity; meticulous, result-oriented, self-motivated, and able to work under pressure while being a team player. Possesses a lively and cheerful personality, a strong sense of responsibility, and excellent communication, interpersonal, observational, and adaptability skills
- Professional certifications related to compliance, such as Certified Compliance Professional (CCP), are an advantage
We offer 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.