What are the responsibilities and job description for the Unpaid - Compliance Intern - Trade Surveillance Support position at Futu Holdings Limited?
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: Dallas, Texas
Schedule: 4 days per week in office
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)
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