Associate, Qualifications Analyst

Associate, Qualifications Analyst

OTC Markets Group - Washington DC - Full Time

OTC Markets Group is an established financial technology company redefining the future of public markets. We operate regulated markets and trading platforms for the industry’s top broker-dealers to trade over 12,000 securities, from startups to world leading international companies.

Headquartered in New York City, OTC Markets Group also provides the market data, disclosure, and compliance solutions, including Blue Sky monitoring, that keep our marketplaces informed and transparent. Together, its Trading Services, Market Data, and Corporate Services businesses provide the technology, information and connectivity that support more efficient and transparent public markets. OTC Markets Group is itself publicly traded, trading on its own OTCQX Best Market under the symbol OTCM.

The Associate, Qualifications Analyst will support the Issuer Services team. In this role, you will review and process applications from companies seeking to qualify for the OTC markets, conduct due diligence on issuers and their officers and directors, monitor ongoing compliance with marketplace rules, and work directly with issuers and their service providers to resolve qualification and disclosure questions. It is a strong fit for an early-career compliance or finance professional looking to build hands-on expertise in securities regulation and corporate disclosure. This role is ideal for a professional who is detail-oriented, proactive, and interested in financial markets and issuer qualifications and compliance.

OTC Markets operates in a hybrid work environment (three days in office, two days remotely). This position is located in our Washington DC office.

Required Qualifications:

The successful candidate will have:

• Bachelor’s degree, preferably in Accounting, Finance, Business, Economics, or a related discipline, or an equivalent combination of education and relevant experience.

• 3+ years’ experience in compliance, finance, accounting or similarly related role.

• Ability to conduct research, perform fact-finding, and apply critical analysis to publicly traded companies.

• Familiarity reading a company's financial reports preferred.

• Detail-oriented with the ability to adhere to specific procedural requirements.

• Strong communication and interpersonal skills, with the ability to work effectively across diverse groups and organizational levels.

• Comfortable providing customer support via telephone and email, with a professional and service-oriented approach. Self-motivated, fast learner, and able to work both independently and collaboratively within a team.

• Willingness to work in an open office setting.

• Capable of managing and prioritizing multiple tasks at a time.

Preferred Skills and Attributes:

• Prior experience with SEC filings or securities/regulatory compliance work at a broker-dealer, transfer agent, exchange, or similar market infrastructure firm.

• Familiarity with FINRA, SEC, or state Blue Sky regulations.

• Experience conducting due diligence or background-check research using public records, news databases, or corporate filings.

• Prior experience in a paralegal, corporate governance, or compliance analyst role.

• Proficiency with Microsoft Excel.

• Strong written and oral communication skills.

Responsibilities:

• Application Processing: Process issuer applications for OTCQX, OTCQB, and OTCID markets, ensuring compliance with market rules and standards.

• Due Diligence: Conduct background checks on officers, directors, and control persons of applicant companies.

• Compliance Monitoring: Review financial reports, news releases, and corporate actions to ensure ongoing compliance with marketplace rules.

• Deficiency Management: Identify and communicate compliance deficiencies to issuers, and track resolution of outstanding issues.

• Procedure Development: Assist in the creation, refinement, and review of internal procedures related to issuer qualifications and compliance.

• Data Administration: Maintain and manage issuer data accurately and securely.

• Customer Support: Provide guidance to issuers and service providers on issuer qualifications, disclosure requirements and Issuer products and services.

Salary:

The target base salary for this role is up to $75,000, with additional compensation composed of stock options and competitive discretionary annual cash bonus. Actual salary within that range is dependent upon the individual’s skills, experience and qualifications.

What We Offer:

• Generous Paid Time Off (PTO)

• Health, Dental, and Vision Coverage

• Health Savings Account (HSA)

• Flexible Spending Accounts (FSA) Dependent & Healthcare

• Limited Purpose Flexible Spending Account (LPFSA)

• Generous Paid Parental Leave Program

• Annual discretionary bonus program

• 401(K) Plan - Retirement

• Commuter Transit & Parking Program

• Income Protection (Life Insurance, Short- & Long-Term Disability)

• Voluntary Benefits (Accident, Critical Illness, & Hospital Indemnity)

We are an equal opportunity and E-Verify employer and prohibit discrimination and harassment of any kind. All employment decisions are based on business needs, job requirements, and individual qualifications, without regard to race, creed, color, religion, gender, national origin, age, marital status, political belief or affiliation, physical or mental disability, sexual orientation, military or veteran status, genetic information, family or parental status, gender identity or expression, pregnancy, including childbirth or related medical condition, caregiver status, height, weight, credit history, unemployment status, salary history, arrest or conviction record, status as a victim of domestic violence, stalking, or sex offenses (or a family member of such a victim), sexual and reproductive health decisions, immigration or citizenship status, family responsibilities, familial status, personal appearance, matriculation, homeless status, place of residence or business, source of income, or status as a victim of an intrafamily offense, or any other characteristic protected by federal, state, or local law. We encourage applicants of all ages and backgrounds. OTC Markets Group provides reasonable accommodations for applicants with disabilities who need assistance during the application or interview process. To request an accommodation, please contact Human Resources at [email protected].

Applicants have rights under Federal Law:

Equal Employment Opportunity is the Law (https://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf)

Polygraph Protection Act

FMLA (https://www.dol.gov/whd/regs/compliance/posters/fmlaen.pdf)

Pay Transparency Law for Employees/Applicants (P688)

Powered by JazzHR