Senior Qualifications Analyst

Washington D.C.
salary, bonus, equity
Feb 16, 2017
Mar 23, 2017
Analyst, Business
Full Time

OTC Markets Group Inc. is now accepting applications for a position of an Senior Qualifications Analyst.

The Senior Qualifications 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). The compliance analyst will work under the supervision of a compliance specialist or a manager, to perform administrative duties and the below tasks:

The Senior Qualifications Analyst will work under the supervision of a compliance manager, and perform the below job duties:

  • Review issuer applications for OTCQX, OTCQB and Pink markets. Conduct research, analyze and interpret data from multiple sources to determine qualification
  • Conduct background checks on applicant’s officers, directors and control persons
  • Review applicant’s financial statements, corporate governance, and other data points to ensure eligibility for the applied market
  • Provide quality control and assess compliance with marketplace rules, guidelines, procedures, and programs.
  • Proactively work with management and compliance team to implement, enhance and document updated market standards and monitoring practices
  • Liaise with issuers, senior management, attorneys, and related service providers with the highest level of service and knowledge.
  • Conduct audit to ensure companies have verified and updated information displayed on
  • Provide senior level customer support and information on various products and services provided by the department
  • Ensure proper documentation of compliance materials


  • Three (3) to five (5) years of experience serving in Qualifications, Compliance, Regulatory or similar role.
  • Bachelor’s degree preferably in Finance, Business, or Economics.
  • Working knowledge of securities markets, combined with an understanding of financial analysis. 
  • Excellent written, oral, analytical and technical skills. 
  • Highly motivated and proactive, ability to work independently and on a team to drive results. 
  • Strong organizational skills, attention to detail, and ability to set priorities in a fast-paced environment.  

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,

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

OTC Markets Inc. offers a casual working environment in an airy loft office space in SoHo part of Manhattan, one of the most exciting and creative places in the world. We are committed to building a company where highly talented, creative people thrive. Therefore, we invest heavily in employee satisfaction and we offer a competitive compensation package designed to entice the best.

Please note that we will neither sponsor nor relocate individual for this position.

We are an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex or national origin.

Similar jobs