Issuer Qualifications Analyst – Compliance & Due Diligence

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

Benefits offered by this job

Generous PTO

Health, Dental, Vision coverage

Health Savings Account (HSA)

Flexible Spending Accounts (FSA)

Paid parental leave

Annual discretionary bonus

Job summary

OTC Markets Group is seeking an Associate, Qualifications Analyst to join the Issuer Services team in Washington, DC. The role involves reviewing issuer applications, performing due diligence, and monitoring ongoing compliance with marketplace rules.

Ideal candidates have 3+ years in compliance or finance, strong research and analytical skills, and Excel proficiency. The position offers a hybrid work arrangement with three days in the office and two remote days.

Qualifications

• Bachelor’s degree in Accounting, Finance, Business, Economics, or related discipline.
• 3+ years’ experience in compliance, finance, accounting or a related role.
• Ability to conduct research, perform fact-finding, and apply critical analysis to publicly traded companies.
• Familiarity reading a company's financial reports preferred.
• Detail-oriented with the ability to adhere to specific procedural requirements.

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

Research ability

Analytical thinking

Communication skills

Detail oriented

Team player

Customer support

Multitasking

Education

Bachelor’s degree in Accounting, Finance, Business, Economics, or related discipline

Tools

Microsoft Excel

Job description

OTC Markets Group is seeking an Associate, Qualifications Analyst to join the Issuer Services team in Washington, DC. The role involves reviewing issuer applications, performing due diligence, and monitoring ongoing compliance with marketplace rules.

Ideal candidates have 3+ years in compliance or finance, strong research and analytical skills, and Excel proficiency. The position offers a hybrid work arrangement with three days in the office and two remote days.