Compliance Analyst - Surveillance Team

OTC Markets Group Inc
Washington, DC
Sep 07, 2019
Sep 19, 2019
Analyst, IT, QA Engineer
Full Time
OTC Markets Group Inc. is now seeking a Compliance Analyst to join our Surveillance Team in Washington, DC office located in Navy Yard. The position is part of the Corporate Services Department responsible for managing the listing qualifications for our stock marketplaces, monitoring ongoing compliance and surveilling the market to maintain an open and transparent environment for the 10,000 companies whose stock is traded over-the-counter (OTC) on the OTCQX, OTCQB and Pink markets. The Analyst will have the opportunity to work directly with issuers, service providers and interact with investors. Additionally, the role will engage in and support internal projects focused on business development and operational efficiency.We are proud to offer a casual working environment and have been named in the Crain's 2018 Best Places to Work in NYC. Our headquarter is located in an airy loft office space in Brookfield Place, a financial center of the world surrounded by a buzzing cultural scene and the beauty of Hudson River Park. 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. 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 impact at a small company with an established reputation for quality.ResponsibilitiesConducting surveillance reviews of our markets for stock promotional, unusual trading, and manipulative activityIdentifying potential situations in surveillance reviews that might impact the integrity of our marketsCompiling and organizing information from a variety of sources to be used in the development of surveillance reviews and regulatory referralsCoordinating with other team members to manage and review risk flags and data elementsInterfacing with other constituents to provide timely responses to regulatory requests and subpoenasAssisting our Issuer Compliance Team in reviews of applications for OTC Markets' servicesProvide high level guidance to junior and entry-level analysts within the department and to our OTC community.QualificationsMinimum 3 years of progressive experience serving in a compliance, regulatory or similar role.Bachelor's degree preferably in Finance, Business, or Economics. Proven skills with the ability to handle a diverse and time sensitive workload and demonstrate a comprehensive knowledge of our marketplace. Excellent written, oral, analytical and technical skills. Willing to work collaboratively in an open office setting with a small, close-knit teamAbility to conduct research, fact finding and critical analysis of publicly traded companiesOTC Markets Group Inc. (OTCQX: OTCM) operates the OTCQX(R) Best Market, the OTCQB(R) Venture Market, and the Pink(R) Open Market for 10,000 US and global securities. Through OTC Link(R) 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 Link ATS is operated by OTC Link LLC, member FINRA/SIPC and SEC regulated ATS.OTC Markets Group Inc. is an E-Verify and Equal Opportunity Employer. We do not discriminate on the basis of race, color, religion, marital status, age, national origin, ancestry, physical or mental disability, medical condition, pregnancy, gender, sexual orientation, gender identity or expression, veteran status, or any other status protected under federal, state, or local law.Please note that we will neither sponsor nor relocate individual for this position. No calls or e-mails please. No third party recruiters.ZCVRbCslqM