Complaints Regulatory Reporting Lead managing complaint metrics and regulatory compliance for AIG operations. Designing frameworks and reports that enhance operational improvement and decision making across jurisdictions.
About the role
- Senior Compliance Officer leading compliance operations for securities and emerging assets at Moomoo Canada Financial Inc. Overseeing AMF/ATF compliance and policy development in a hybrid role.
Responsibilities
- Support the CCO in maintaining and enhancing the company's compliance program under CIRO and FINTRAC regulations.
- Oversee daily AML/ATF operations and ensure adherence to the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA).
- Act as the Deputy CAMLO, or assume the role where appropriate, ensuring effective oversight of AML/ATF obligations.
- Provide compliance guidance to business leaders and assist in the assessment of new business lines and product offerings.
- Lead the design, documentation, and implementation of policies and procedures that align with regulatory expectations.
- Monitor and respond to changes in regulatory requirements and industry best practices.
- Partner with the CCO to ensure the company's compliance framework is scalable and future-ready.
- Ensure all compliance policies, testing results, and supervisory records are maintained in accordance with CIRO IDPC Rules and internal record retention requirements.
- Conduct ongoing compliance monitoring, testing, and risk assessments across business lines.
- Oversee the company's transaction monitoring processes, including escalation and reporting associated FINTRAC.
- Support the design and maintenance of risk models and frameworks tailored to both securities and potential crypto activities.
- Oversee the preparation and filing of Suspicious Transaction Reports (STRs), Large Virtual Currency Transaction Reports (LVCTRs), and other regulatory submissions.
- Liaise with FINTRAC, CIRO, and other regulatory bodies during audits, inquiries, and examinations.
- Provide compliance input as the firm explores opportunities in crypto-related activities.
- Leverage tools utilized for blockchain analytics, travel rule compliance, and transaction tracing. Ensure deep understanding of Travel Rule obligations and crypto AML frameworks in Canada.
- Assess custody arrangements, cold storage controls, and operational due diligence processes should the firm pursue registered cryptoasset activities. Evaluate counterparty risk and compliance risk across VASPs, custodians, liquidity providers, and blockchain analytic vendors.
- Partner with internal teams (Legal, Risk, Operations, IT) to ensure compliance integration across all business operations.
- Provide mentorship and guidance to compliance analysts and operations team members.
- Demonstrate sound escalation judgment, ensuring timely reporting of significant issues to the CCO and UDP in accordance with CIRO Rules,
- Foster a proactive and collaborative compliance culture.
Requirements
- Minimum 5 years of experience in the Canadian securities or investment dealer industry, preferably within an OEO / discount brokerage environment.
- Has previously served as a CAMLO or alternate CAMLO for at least 1–2 years in a regulated Canadian entity.
- In-depth understanding of CIRO, FINTRAC, PCMLTFA, and related Canadian AML/ATF and securities regulations.
- Experience with compliance monitoring systems and tools – familiarity with cryptocurrency compliance tools (Chainalysis, NotaBene, etc.) is considered a strong asset.
- Awareness of the Travel Rule, VASPs, and AML practices within licensed Canadian crypto platforms is an advantage. Familiarity with FATF recommendations, blockchain tracing, and crypto forensics. Exposure to both fiat and crypto payment rails, including decentralized exchanges or on/off ramps.
- Strong leadership, analytical, and communication skills; ability to collaborate across departments and exercise sound judgment under regulatory pressure.
- Preferred certifications: CSC, CPH, IDSC, DFOL, OSC, Supervisory licensed (Securities/Options), CAMS (Certified Anti-Money Laundering Specialist), or CCAS (Certified Cryptoasset Anti-Financial Crime Specialist), or other recognized AML/CTF certifications.
Benefits
- 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's a global leader in online brokerage and wealth management
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Tech skills
Location requirements
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