Compliance Analyst – Brokerage

About the role

The Compliance Analyst supports Moomoo Canada Financial Inc.'s regulatory compliance program, ensuring that brokerage activities meet Canadian investment, anti‑money‑laundering and anti‑terrorist financing requirements. Reporting to the Chief Compliance Officer and working closely with the Chief Anti‑Money Laundering Officer, the role is developmental with increasing responsibility.

Key responsibilities

• Conduct AML and ATF transaction monitoring and review system‑generated alerts for unusual or suspicious activity.
• Document alert reviews, investigative findings, supporting information and recommended next steps.
• Escalate potentially suspicious transactions to senior compliance staff.
• Assist in preparing and submitting FINTRAC reports, including Large Cash Transaction Reports, Large Virtual Currency Transaction Reports, Suspicious Transaction Reports and Electronic Funds Transfer Reports.
• Support client onboarding, marketing material review, complaint handling, trade surveillance and regulatory reporting.
• Maintain effective controls across general compliance operations.

Required profile

• Ability to work under supervision of senior compliance personnel and gradually assume greater ownership.
• Strong analytical mindset and attention to detail for reviewing alerts and preparing reports.
• Good written communication skills for documenting investigations and regulatory filings.

Required skills

• AML transaction monitoring.
• Anti‑terrorist financing monitoring.
• FINTRAC reporting (LCTRs, LVCTRs, STRs, EFTRs).
• Knowledge of Canadian regulatory bodies such as CIRO, CSA and FINTRAC.