Compliance Analyst

Washington D.C.
standard corporate benefits, annual and equity incentives
Jun 23, 2017
Jul 28, 2017
Analyst, Business, Finance
Career Level
Entry Level
Full Time

OTC Markets is now accepting applications for a junior position of Compliance Analyst to join our Washington, DC office. The 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). The compliance analyst will work under the supervision of a compliance specialist or a manager, to perform administrative duties and the below tasks:


  • 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.


We are a dynamic, growing company that fosters an open culture and emphasizes autonomy, responsibility, innovation and self-discipline. We are looking for someone who is able to thrive as a part of a small team, prioritize work in real-time, take ownership of multiple projects, learn and demonstrate proficiency in multiple areas of financial compliance. 


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 offer a competitive compensation package designed to entice the best.



  • 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 visit: to learn more about working with us!


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.

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

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

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

No third party recruiters please.

No calls please.

Similar jobs