Associate Qualifications Analyst: Compliance & Due Diligence

OTC Markets; Washington (District of Columbia); Hybrid; USD 68,000 - 83,000; Full time

Benefits offered by this job

Generous PTO

Health, Dental, Vision

Health Savings Account

Flexible Spending Accounts

Parental Leave

Annual discretionary bonus

401(k) Plan

Transit & Parking

Life Insurance

Disability benefits

Job summary

OTC Markets Group in Washington, DC is seeking an Associate, Qualifications Analyst to support the Issuer Services team. You will review applications for OTCQX/QB/ID markets, perform due diligence on officers and directors, and monitor ongoing compliance with marketplace rules in a hybrid office environment (3 days in, 2 days remote).

The role targets a candidate with a strong compliance/finance background and excellent analytical skills.

Qualifications

• Bachelor's degree in Accounting, Finance, Business, Economics, or related field.
• 3+ years’ experience in compliance, finance, accounting or similarly related role.
• Ability to conduct research and apply analysis to publicly traded companies.
• Familiarity reading a company's financial reports preferred.
• Detail-oriented with adherence to procedures.
• Strong communication and interpersonal skills across diverse groups and levels.
• Comfortable providing customer support via phone and email with a service orientation.
• Self-motivated, fast learner, and able to work independently and collaboratively.
• Willingness to work in an open office setting.
• Capable of prioritizing multiple tasks.

Responsibilities

• Process issuer applications for OTCQX, OTCQB, and OTCID markets, ensuring compliance with market rules and standards.
• Conduct background checks on officers, directors, and control persons of applicant companies.
• Review financial reports, news releases, and corporate actions to ensure ongoing compliance with marketplace rules.
• Identify and communicate compliance deficiencies to issuers, and track resolution of outstanding issues.
• Assist in the creation, refinement, and review of internal procedures related to issuer qualifications and compliance.
• Maintain and manage issuer data accurately and securely.
• Provide guidance to issuers and service providers on issuer qualifications, disclosure requirements and Issuer products and services.

Skills

Communication skills

Attention to detail

Fast learner

Teamwork

Education

Bachelor's degree in Accounting/Finance/Business/Economics

Tools

Microsoft Excel

Job description

OTC Markets Group in Washington, DC is seeking an Associate, Qualifications Analyst to support the Issuer Services team. You will review applications for OTCQX/QB/ID markets, perform due diligence on officers and directors, and monitor ongoing compliance with marketplace rules in a hybrid office environment (3 days in, 2 days remote).

The role targets a candidate with a strong compliance/finance background and excellent analytical skills.