Compliance Intern

Key Responsibilities:Policy & Documentation: Assist in updating and maintaining compliance manuals, policies, procedures, and compliance registers. Routine Monitoring: Support routine compliance monitoring programs, compliance checks, and trade surveillance activities under supervision. Material Review: Help review marketing materials, client onboarding documentation, account opening files, and transaction records for adherence to SFC Codes and AML/CTF guidelines. Regulatory Submissions: Assist in preparing documents, data compilation, and administrative support for regulatory filings, licence applications, and ongoing SFC submissions. Training & Research: Help draft compliance training materials, presentations, internal newsletters, and conduct legal/regulatory research on SFC circulars and guidelines. Ad-hoc Projects: Support the compliance team with ad-hoc projects and general administrative duties as assigned. Requirements:Education: Current university student or recent graduate majoring in Law, Finance, Accounting, Risk Management, or a related discipline. Experience: Previous internship experience in compliance, legal, internal audit, or financial services (brokerage, asset management, fintech) is a strong plus. Knowledge: Basic understanding of or strong interest in Hong Kong financial markets and SFC regulations (specifically Type 1, 4, and 9 regulated activities). Language Skills: Fluency in written and spoken English and Chinese (Cantonese and Mandarin) is required for document review and stakeholder engagement. Soft Skills: Strong attention to detail, high integrity, analytical mindset, and good communication skills. Availability: Able to commit at least 3 days a week for a duration of 3 months; immediate availability is highly preferred.