Associate Compliance Analyst
for OTC Markets Group Inc in Washington, DC USA
OTC Markets Group Inc., operator of premier US financial marketplaces, is seeking an eager Compliance Analyst for our Issuer Services team based in Washington, DC office. The Associate level Compliance Analyst will collaborate with the Corporate Services team to deliver high-quality customer service and information to companies whose stock is traded over-the-counter (OTC). Our clients include domestic and international companies, both public and private. This is an amazing opportunity for passionate, dedicated individual who is comfortable multi-tasking and building relationships across the organization.
OTC Markets is proud to be named on Crain's 2018 Best Places to Work in NYC. Our newly redesigned headquarters foster an open and collaborative environment for employees and clients, utilizing more than 33,000 square feet of space. Our office is located in Brookfield Place, in the heart of the financial district, surrounded by Hudson River Park and home to luxury retail and dining establishments, featuring extensive public space and world-class amenities.
We are committed to building a company where highly talented, creative people thrive. Our Core Values are incorporated in each aspect of our Company. We encourage autonomy, professionally passionate discussions of opposing viewpoints, creativity and transparency. We all win together.
OTC Markets invests heavily in employee satisfaction and offers all of our employees a highly competitive compensation package. As a dynamic, growing company that fosters an open culture, we emphasize autonomy, responsibility, innovation and self-discipline. We are looking for someone who wants to make an impressive impact at a company known for its reputation on quality and achievement.
Our successful candidate will:
- Process listing applications, including determining qualifications based on listing rules, conducting background checks on applicant?s officers, directors and control persons, and working with issuers and related service providers during application process
- Monitor ongoing compliance with qualifications and marketplace rules, including reviewing company financial reports, news and corporate action history
- Review issuer compliance matters on a daily basis based on marketplace rules, guidelines, procedures, and compliance programs.
- 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
- Interact with our sales, finance, and trading teams. Maintain a professional relationship with our issuer?s management and legal teams.
- 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
- A Bachelor?s Degree, preferably in Finance, Business, or Economics.
- Familiarity with quarterly and annual financial reports
- 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
- Strong knowledge of Microsoft applications (PowerPoint, Word, and Excel) Bachelor?s Degree, preferably in Finance, Business, or Economics.
- Ability to accurately and timely complete various work assignments.
Please note, we will neither sponsor nor relocate an individual for this position.
What OTC Markets offers its Team Members:
- Health insurance plans designed to meet the various coverage needs and preferences (Medical, Dental, Vision)
- Flexible Spending Accounts for health, transit, parking and dependent care, as well as Healthcare Saving Accounts for qualifying plans
- Generous vacation policy in addition to 9 annual holidays observed and 5 summer Fridays
- Snacks and sodas and a very chic coffee bar
- Annual bonus and stock incentive program
- Office refreshments and company happy hours
- Monday Bagels and Friday Pizza
- Life and disability insurance, including paid parental leave
OTC Markets Group Inc. (OTCQX: OTCM) operates Open, Transparent and Connected financial markets for 10,000 U.S. and global securities. Through our OTC Link ATS, we directly link a diverse network of broker-dealers that provide liquidity and execution services for a wide spectrum of securities. We organize these securities into markets to inform investors of opportunities and risks: the OTCQX Best Market; the OTCQB Venture Market; and the OTC Pink Open Market. Our data-driven platform enables investors to easily trade through the broker of their choice at the best possible price and empowers a broad range of companies to improve the quality and availability of information for their investors. To learn more about how we create better informed and more efficient financial markets, visit www.otcmarkets.com.
OTC Link ATS is operated by OTC Link LLC, member FINRA/SIPC and SEC regulated ATS.
Come as you are and just be you. 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, physical or mental disability, sexual orientation, military or veteran status, genetic information, family or parental status, gender identity, pregnancy, including childbirth or related medical condition, or any other characteristic protected by federal, state, or local law. We encourage applicants of all ages and backgrounds.
Please no calls or 3<sup>rd</sup> party recruiter submissions.
Applicants have rights under the federal law:
Job Category: Other / Miscellaneous
Location: Washington, DC USA
Zip Code: 20003
Posted on: 12/02/2019
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