Associate Compliance Analyst

OTC Markets Washington , DC 20319

Posted 2 months ago

OTC Markets Group Inc., operator of premier US financial marketplaces, is now seeking to add an entry level Compliance Analyst to our Washington, DC office located in Navy Yard.

The Associate Compliance Analyst is part of the Issuer Services team responsible for managing the listing qualifications and ongoing compliance monitoring of the 10,000 companies whose stock is traded over-the-counter (OTC) on our 3 tiered markets. The Analyst will have the opportunity to interact and work directly with issuers, service providers and investors.

OTC Markets Group Inc. is proud to offer a casual working environment and has been named in the Crain's 2018 Best Places to Work in NYC. We are committed to building a company where highly talented, creative people thrive so we invest heavily in employee satisfaction and offer a competitive compensation package designed to entice the best. The position comes with generous starting salary, year-end bonus, stock options, 401(k), and full medical benefits.

Responsibilities:

  • Process listing applications and agreements, including determining qualifications based on listing rules and work with issuers and related service providers during application process.

  • Conduct background checks on applicant's officers, directors and control persons

  • Monitor ongoing compliance with qualifications and marketplace rules, including reviewing company financial reports, news and corporate action history.

  • Review compliance deficiencies.

  • Assist with the creation, development, and review of relevant procedures.

  • Ensure integrity of listed company data. Requires data collection and verification of information published for investors, broker dealers and other market participants.

  • Provide customer support and information on listing qualifications, disclosure procedures, and various products and services

Qualifications/Requirements:

  • Bachelor's Degree, preferably in Accounting, Finance, Business, or Economics. Familiarity with financial reports.

  • Willing to work collaboratively in an open office setting with a small, close-knit team.

  • Ability to conduct research, fact finding and critical analysis of publicly traded companies.

  • Self-motivated, fast-learner, and able to work well with a team and individually.

  • Strong communication and interpersonal skills, with the ability to work effectively with diverse groups of people at various levels within the organization. This position also requires significant levels of customer communication and support both over the telephone and via email.

  • Detail-oriented and able to adhere to specific procedural requirements.

  • Ability to work on and prioritize multiple tasks with tight deadlines.

The job is based in our Navy Yard, Washington DC, office.

Please note that we will neither sponsor nor relocate individual for this position. No calls or e-mails please. No third party recruiters.

OTC Markets Group Inc. (OTCQX: OTCM) operates the OTCQX Best Market, the OTCQB Venture Market, and the Pink Open Market for 10,000 U.S. and global securities. Through OTC Link ATS, we connect a diverse network of broker-dealers that provide liquidity and execution services. We enable investors to easily trade through the broker of their choice and empower companies to improve the quality of information available for investors.To learn more about how we create better informed and more efficient markets, visit www.otcmarkets.com.

OTC Link ATS is operated by OTC Link LLC, member FINRA/SIPC and SEC regulated ATS.

OTC Markets Group is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, creed, color, religion, gender, national origin, age, marital status, political belief, physical or mental disability, sexual orientation, military or veteran status, genetic information, gender identity, pregnancy, including childbirth or related medical condition, or any other characteristic protected by federal, state, or local law.


icon no score

See how you match
to the job

Find your dream job anywhere
with the LiveCareer app.
Mobile App Icon
Download the
LiveCareer app and find
your dream job anywhere
App Store Icon Google Play Icon
lc_ad

Boost your job search productivity with our
free Chrome Extension!

lc_apply_tool GET EXTENSION

Similar Jobs

Want to see jobs matched to your resume? Upload One Now! Remove
Compliance Analyst

Rally Health

Posted 3 days ago

VIEW JOBS 4/18/2019 12:00:00 AM 2019-07-17T00:00 Rally Health is all about putting health in the hands of the individual. It's our mission, and it drives everything we do, which is to empower people with easy-to-use online and mobile tools that help them take charge of their health and health care, from improving their diet and fitness to selecting health benefits, and choosing the right doctor at the right price for their needs. Our culture is built on a deep and sincere dedication to helping people live healthier lives. To do this, we are committed to innovating at every level. As our president and COO David Ko says, "We are a company that continuously innovates. It cannot end. It has to be in everything we do, which means that some of the things we're going to do are not going to work – and that's okay. We're not trying to build something that is churn and burn. We're building something that follows consumers over their lifetime. Responsibilities: * Assists and supports the organization with ongoing testing and monitoring of conformance to the requirements of various compliance standards and legislation. * Performs evaluation of internal controls, communications, risk assessments and maintenance of documentation, as it relates to SOC 2 Type 2, HiTrust, HIPAA and NIST. * Conducts ongoing internal audits, assessing risk in terms of security controls. Identifies risk and evaluates deficiencies while working with internal departments/business units to appropriately remedy them. * Communicates audit results and prepares written documentation/reports, disclosing all significant deficiencies to management. * Facilitates internal training on compliance requirements. * Conducts ongoing SOC 2 audits, assessing risk in terms of SOC 2 Trust Service Principles security controls * Identifies risk and evaluates deficiencies while working with internal departments/business units to appropriately remedy them. * Communicates audit results and prepares written documentation/reports as it relates to SOC 2, disclosing all significant deficiencies to management. * Facilitates internal training on requirements of SOC 2 compliance. * Perform other team duties as required Qualifications: * 3-5 years of experience providing support for corporate compliance efforts * Experience with SOC 2 Type 2, PCI DSS, HiTrust, Sarbanes Oxley, ISO 27001, Privacy Shield * Demonstrate in-depth knowledge associated with HIPAA compliance and NIST security framework * Experience with building, updating corporate IT and Security policies and procedures * Ability to lead time effectively to meet deliverables when working different teams in different time zone * Highly motivated individuals with focus on accountability and following up * Excellent written and verbal communication skills * Experience with RFI and RFP support is desired * Experience with Safe Harbor is also desired * Bachelor's degree in related discipline or equivalent experience is a requirement * CISM, CISA, GCEIT, CRISC certification are a plus Why join Rally? On top of a creative work atmosphere and a chance to help people change their lives, we offer competitive pay, daily catered lunches, and an extensive benefits package for all full-time employees (including medical, dental, vision and 401(k)). In addition, offer the ability to grow, while truly making an impact in the healthcare system. Rally Health is committed to ensuring that its workforce reflects America's diverse population. Rally Health knows that such diversity will enrich us with the talent, energy, perspective and inspiration it needs to achieve its mission. Rally Health believes in a policy of equal employment and opportunity for all people based on merit and dedication to the principles of diversity. It is our policy to recruit, hire, train, and promote individuals in all job titles, and administer all programs, without regard to race, color, religion, national origin or ancestry, citizenship, sex, age, marital status, pregnancy, childbirth or related medical conditions, personal appearance, sexual orientation, gender identity or expression, family responsibilities, genetic information, disability, matriculation, political affiliation, veteran status, union affiliation, or any other category protected by applicable federal, state or local laws. Individuals with disabilities and veterans are encouraged to apply. Applicants who require an accommodation related to the application and/or review process should notify Talent Acquisition (recruiting@rallyhealth.com). Rally Health Washington DC

Associate Compliance Analyst

OTC Markets