Associate, Qualifications Analyst

Associate, Qualifications Analyst
OTC Markets Group
- Washington DC
- Full Time

OTC Markets Group is an established financial technology company redefining the future of public markets. We operate regulated markets and trading platforms for the industry’s top broker-dealers to trade over 12,000 securities, from startups to Fortune 500 global companies. Headquartered in New York City, OTC Markets Group also provides the market data, disclosure, and compliance solutions, including Blue Sky monitoring, that keep our marketplaces informed and transparent.

Together, its Trading Services, Market Data, and Corporate Services businesses provide the technology, information and connectivity that support more efficient and transparent public markets. OTC Markets Group is itself publicly traded, trading on its own OTCQX Best Market under the symbol OTCM. The Associate, Qualifications Analyst will support the Issuer Services team. In this role, you will review and process applications from companies seeking to qualify for the OTC markets, conduct due diligence on issuers and their officers and directors, monitor ongoing compliance with marketplace rules, and work directly with issuers and their service providers to resolve qualification and disclosure questions.

It is a strong fit for an early-career compliance or finance professional looking to build hands-on expertise in securities regulation and corporate disclosure. This role is ideal for a professional who is detail-oriented, proactive, and interested in financial markets and issuer qualifications and compliance. OTC Markets operates in a hybrid work environment (three days in office, two days remotely). This position is located in our Washington DC office.

The successful candidate will have:

• Bachelor’s degree, preferably in Accounting, Finance, Business, Economics, or a related discipline, or an equivalent combination of education and relevant experience.
• 3+ years’ experience in compliance, finance, accounting or similarly 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.
• Strong communication and interpersonal skills, with the ability to work effectively across diverse groups and organizational levels.
• Comfortable providing customer support via telephone and email, with a professional and service-oriented approach.
• Self-motivated, fast learner, and able to work both independently and collaboratively within a team.
• Willingness to work in an open office setting.
• Capable of managing and prioritizing multiple tasks at a time.

• Prior experience with SEC filings or securities/regulatory compliance work at a broker-dealer, transfer agent, exchange, or similar market infrastructure firm.
• Familiarity with FINRA, SEC, or state Blue Sky regulations.
• Experience conducting due diligence or background-check research using public records, news databases, or corporate filings.
• Prior experience in a paralegal, corporate governance, or compliance analyst role.
• Proficiency with Microsoft Excel.
• Strong written and oral communication skills.

• Application Processing:
  Process issuer applications for OTCQX, OTCQB, and OTCID markets, ensuring compliance with market rules and standards.
• Due Diligence:
  Conduct background checks on officers, directors, and control persons of applicant companies.
• Compliance Monitoring:
  Review financial reports, news releases, and corporate actions to ensure ongoing compliance with marketplace rules.
• Deficiency Management:
  Identify and communicate compliance deficiencies to…