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.


  • 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


  • 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

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.

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Associate Compliance Analyst

OTC Markets