Brokerage Compliance Intern

Position Summary

Compliance coordinates the day-to-day implementation of the firm's legal and compliance disciplines. This includes the firm's enterprise-wide financial crime prevention efforts and trading activities. The department also develops and/or assists in the development of appropriate policies and procedures, including those designed to assist the business units in knowing their clients, conducting appropriate due diligence, and preventing, detecting, and reporting potentially suspicious activity.

The department also works on specialized projects, including training and responding to FINRA inquiries.

We are seeking a motivated and detail-oriented Brokerage Compliance Intern to join our broker-dealer firm. This role combines exposure to Anti-Money Laundering (AML) compliance and Trade Surveillance, giving the intern a broad view of the firm's compliance program. The intern will support the compliance team in monitoring transactions and trading activity, conducting customer due diligence reviews, reviewing employee trading and communications, and assisting with investigations related to money laundering, market abuse, and other regulatory concerns.

This internship provides hands-on experience in regulatory compliance, risk management, and financial services operations within a fast-paced broker-dealer environment.

• Assist with reviewing customer information and documentation for Know Your Customer (KYC) compliance.
• Support transaction monitoring activities to identify unusual or suspicious activity.
• Help investigate alerts generated by AML and trade surveillance monitoring systems, escalating suspicious activity to the Compliance team.
• Assist in monitoring and reviewing employee trading activity to ensure compliance with internal policies and regulatory requirements.
• Support trade surveillance efforts by analyzing transactions for potential market abuse, manipulative activity, or policy violations.
• Assist in monitoring employee emails and electronic communications for compliance with regulatory obligations and internal policies.
• Conduct research on customers, businesses, and transactions using internal and external sources.
• Maintain accurate records, logs, and case documentation for compliance monitoring and investigations.
• Assist in preparing reports for compliance officers, senior management, and regulatory inquiries.
• Support regulatory audits and compliance reviews.
• Participate in ongoing compliance projects, process improvements, and special assignments.
• Stay informed about AML regulations, sanctions, trade surveillance requirements, and financial crime trends.

• Bachelor's or master's degree in Finance, Accounting, Economics, Business, Criminal Justice, Law, or a related field.
• Strong interest in the securities industry, financial crime prevention, and regulatory compliance, with a desire to develop skills in broker-dealer compliance.
• Strong analytical and problem-solving skills, with solid research skills to gather, interpret, and summarize complex regulatory information.
• Attention to detail and ability to handle confidential information with accuracy.
• Excellent written and verbal communication skills, with the ability to effectively communicate complex information.
• Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint, Outlook).
• Ability to work independently as well as collaboratively within a team environment.
• Strong organizational and time management skills, with the ability to prioritize tasks effectively.

• Knowledge of AML, KYC, sanctions screening, or financial regulations is a plus.
• Familiarity with securities laws and regulations (e.g., Securities Exchange Act of 1934, FINRA rules) is a plus.
• Previous internship experience in broker-dealer compliance or a related field is desirable but not required.
• Proficiency in Mandarin Chinese is a plus, as the role may involve communication with Mandarin-speaking parties or Chinese-language documentation.

US Tiger Securities Inc. is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, genetic information, marital status, veteran status, or any other status protected under applicable federal, New York, and New Jersey law.