Trading Compliance Analyst: Grow in RegTech & Markets

OTC Markets Group Inc; New York (NY); On-site; USD 90,000 - 115,000; Full time

Benefits offered by this job

Generous PTO

Health, Dental, Vision

HSA

FSA Dependent & Healthcare

LPFSA

Parental leave

Discretionary annual bonus

401(k)

Commuter transit & parking

Life & disability insurance

Voluntary benefits

Office perks (NYC)

Job summary

OTC Markets Group Inc. in New York is seeking a Trading Compliance Analyst for OTC Link.

This on-site role supports AML and SCI initiatives, maintains supervisory procedures and responds to subscriber inquiries while gaining hands-on experience with regulatory exams and audits across Operations, Technology, Compliance and Subscriber Services. Ideal candidates have a bachelor’s degree in business/finance/economics/communications, basic SQL, strong attention to detail, and solid project management

Qualifications

• Bachelor’s degree in business, Finance, Economics, Communications, or a related field from an accredited college or university.
• Basic understanding of SQL and the ability to query, analyze and interpret data sets.
• Strong attention to detail with the ability to identify inconsistencies and maintain a high degree of accuracy.
• Demonstrated project management and organizational skills, including the ability to manage multiple priorities simultaneously.
• Strong analytical, problem solving, written communication and interpersonal skills.
• Ability to work independently and collaboratively in a fast paced regulatory and technology driven environment.
• Comfortable working with Microsoft Office applications, particularly Excel, Word & PowerPoint
• Must be willing to obtain SIE & Series 7

Responsibilities

• Assist with the development, maintenance and review of Written Supervisory Procedures (WSPs) and related compliance documentation.
• Support the planning, coordination, tracking and execution of Anti-Money Laundering (AML) and Systems Compliance and Integrity (SCI) initiatives.
• Participate in project management activities, including maintaining project timelines, coordinating stakeholders, documenting action items, and monitoring progress against objectives.
• Develop a working knowledge of OTC Markets trading platforms to respond to subscriber inquiries regarding platform functionality and operating procedures.
• Assist with regulatory examinations, audits testing activities and remediation efforts.Collaborate with Operations, Compliance, Technology and Subscriber Services teams on strategic and operational projects.
• Ad-hoc duties and special projects as assigned.

Skills

SQL

Attention to detail

Project management

Analytical skills

Communication skills

Independent & collaborative work

MS Office (Excel/Word/PowerPoint)

Education

Bachelor's degree in business, Finance, Economics, Communications, or related field

Tools

SQL

Job description

OTC Markets Group Inc. in New York is seeking a Trading Compliance Analyst for OTC Link.

This on-site role supports AML and SCI initiatives, maintains supervisory procedures and responds to subscriber inquiries while gaining hands-on experience with regulatory exams and audits across Operations, Technology, Compliance and Subscriber Services. Ideal candidates have a bachelor’s degree in business/finance/economics/communications, basic SQL, strong attention to detail, and solid project management