Unpaid - Compliance Intern - Trade Surveillance Support

Job Description

Job Description

About Futu US Inc.:

Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU).

Our core mission revolves around innovating the investing landscape through a digitized brokerage and wealth management platform that's designed to elevate the investment experience.

Here's a closer look at our key entities:

• Futu Clearing Inc.: An SEC registered FINRA member dedicated to delivering top-tier clearing and execution services globally.
• Moomoo Financial Inc.: As an SEC registered FINRA member, we provide retail investors access to both U.S. and Asian securities markets, ensuring your investment journey is backed by expertise.
• Moomoo Technology Inc.: Offering a data-rich trading platform, we provide unparalleled insights and tools to enhance your trading strategies. Note that this entity is not a licensed broker-dealer.

For deeper insights into our entities and affiliates, explore futuclearing.com or moomoo.com/us to discover the future of investing with confidence and innovation.

This structured internship is designed as a hands-on learning experience for students interested in financial markets, data analysis, and regulatory compliance within a FINRA-regulated environment.

Participants will gain practical exposure to how a clearing firm monitors trading activity, identifies potential risks, and supports regulatory obligations—building skills directly applicable to careers in compliance, risk, and financial services.

Location: Jersey City, New Jersey or Dallas, Texas

Schedule: 4 days per week in office

Requirements

What You’ll Learn & Do:

• How trade surveillance programs detect and review unusual trading activity
• The lifecycle of alerts, exceptions, and compliance case management
• Core regulatory concepts (e.g., market conduct, exception reporting)
• Data analysis techniques used in compliance environments
• How Compliance, Operations, and Surveillance teams work together

Key Learning Activities

• Prepare and organize datasets used in trade surveillance reviews
• Support tracking and documentation of alerts and exception cases
• Perform data quality checks to ensure accuracy and completeness
• Assist in creating reports and internal compliance documentation
• Contribute to process improvement and regulatory support projects

Skills You’ll Build

• Advanced Microsoft Excel and data management skills
• Analytical thinking and attention to detail
• Understanding of financial market structure and regulation
• Professional communication in a regulated business environment

Data Responsibility & Ethics

Participants will be trained on confidentiality and data protection standards:

• Work is performed using anonymized or restricted datasets
• No access to personally identifiable information (PII)
• Adherence to firm information security and compliance policies

Students currently enrolled in an accredited college or university with an interest in:
Finance, Accounting, Economics, Business Administration, Data Analytics, Information Systems, Mathematics, Risk Management, Legal Studies, or Computer Science

Preferred Skills

• Experience with Excel (formulas, sorting/filtering, data organization)
• Familiarity with financial markets or brokerage operations (a plus)
• Basic knowledge of SQL or data querying (a plus)

Benefits

What You’ll Gain:

• Real-world experience in trade surveillance and compliance
• Exposure to regulatory frameworks and financial operations
• Practical, resume-building skills in data analysis and risk monitoring