Associate, Qualifications Analyst at OTC Markets Group in DC, DC

Job description

• 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.

Responsibilities

• 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 issuers, and track resolution of outstanding issues.
• Procedure Development: Assist in the creation, refinement, and review of internal procedures related to issuer qualifications and compliance.
• Data Administration: Maintain and manage issuer data accurately and securely.
• Customer Support: Provide guidance to issuers and service providers on issuer qualifications, disclosure requirements and Issuer products and services.

Requirements

• 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.

Skills

Required

• Research and fact-finding
• Critical analysis
• Detail-oriented
• Adherence to procedural requirements
• Customer support via telephone and email
• Self-motivated
• Fast learner
• Task management and prioritization

Preferred

• Proficiency with Microsoft Excel

Benefits

• Generous Paid Time Off (PTO)
• Health, Dental, and Vision Coverage
• Health Savings Account (HSA)
• Flexible Spending Accounts (FSA) Dependent & Healthcare
• Limited Purpose Flexible Spending Account (LPFSA)
• Generous Paid Parental Leave Program
• Annual discretionary bonus program
• 401(K) Plan - Retirement
• Commuter Transit & Parking Program
• Income Protection (Life Insurance, Short- & Long-Term Disability)
• Voluntary Benefits (Accident, Critical Illness, & Hospital Indemnity)
• The target base salary for this role is up to $75,000, with additional compensation composed of stock options and competitive discretionary annual cash bonus. Actual salary within that range is dependent upon the individual’s skills, experience and qualifications.