Qualifications Compliance Specialist

OTC Markets Group Inc
Qualifications Compliance Specialist
OTC Markets Group – Washington DC - Full Time

OTC Markets Group Inc., operator of premier US financial marketplaces, is seeking a Qualifications Compliance Specialist to join our Issuer Services team, in our Washington DC office.
We invest heavily in employee satisfaction and offer all our employees a highly competitive compensation package. As a dynamic, growing company that fosters an open culture, we emphasize autonomy, responsibility, innovation, and self-discipline. We are looking for someone who wants to make an impressive impact at a company known for its reputation on quality and achievement.
OTC Markets operates in a hybrid work environment (three days in office, two days remotely). This position works out of our Washington DC office.
Base compensation for this role is up to $65,000 depending on experience. In addition, the position is eligible for our discretionary annual bonus program.
What you’ll do:

• Process listing applications and agreements, including determining qualifications based on listing rules and work with issuers and related service providers during application process.
• Conduct background checks on applicant’s officers, directors, and control persons.
• Monitor ongoing compliance with qualifications and marketplace rules, including reviewing company financial reports, news, and corporate action history.
• Review compliance deficiencies.
• Assist with the creation, development, and review of relevant procedures.
• Ensure integrity of listed company data.
• Requires data collection and verification of information published for investors, broker dealers and other market participants.
• Provide customer support and information on listing qualifications, disclosure procedures, and various products and services.

What we’re looking for:

• Bachelor’s Degree, preferably in Accounting, Finance, Business, or Economics.
• Willing to work collaboratively in an open office setting with a small, close-knit team.
• Ability to conduct research, fact finding and critical analysis of publicly traded companies.
• Preferred familiarity with quarterly and annual financial reports.
• Self-motivated, fast-learner, and able to work well with a team and individually.
• Strong communication and interpersonal skills, with the ability to work effectively with diverse groups of people at various levels within the organization.
• This position also requires significant levels of customer communication and support both over the telephone and via email.
• Detail-oriented and able to adhere to specific procedural requirements.
• Ability to work on and prioritize multiple tasks with tight deadlines.

What OTC Markets offers its Team Members (why you should choose us):
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 bonus and Stock Incentive Program
• 401(K) Plan - Retirement
• Commuter Transit & Parking Program
• Income Protection (Life Insurance, Short- & Long-Term Disability)
• Voluntary Benefits (Accident, Critical Illness, & Hospital Indemnity)

Perks:

• Hybrid Work Schedule
• Class Pass Partnership (Fitness & Wellness Programs)
• Citi Bike Membership Program
• Mondays – Breakfast Bagels & Wednesdays – Pizza Lunch
• Office Snacks and Beverages
• Summer & Winter Company Events
• Employee Discount Program
• Monthly birthday celebrations
• Happy hours and more
   

 
For more information about OTC Markets Group, please visit our public policy advocacy and careers page. No calls or e-mails please.
No third-party recruiters. Unsolicited resumes submitted by third-party recruiters will be treated as free referrals, and OTC Markets Group will NOT pay a fee for any placement that may result from receipt of an unsolicited resume, referral, or other submission by a third-party recruiter.
Come as you are and just be you. We are an equal opportunity and E-Verify employer and prohibit discrimination and harassment of any kind. All employment decisions are based on business needs, job requirements, and individual qualifications, without regard to race, creed, color, religion, gender, national origin, age, marital status, political belief, physical or mental disability, sexual orientation, military or veteran status, genetic information, family or parental status, gender identity, pregnancy, including childbirth or related medical condition, or any other characteristic protected by federal, state, or local law. We encourage applicants of all ages and backgrounds.
OTC Markets Group Inc. (OTCQX: OTCM) operates regulated markets for trading 12,000 U.S. and international securities. Our data-driven disclosure standards form the foundation of our three public markets: OTCQX® Best Market, OTCQB® Venture Market and Pink® Open Market.
Our OTC Link® Alternative Trading Systems (ATSs) provide critical market infrastructure that broker-dealers rely on to facilitate trading. Our innovative model offers companies more efficient access to the U.S. financial markets. 
OTC Link ATS, OTC Link ECN and OTC Link NQB are each an SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker-dealer, member SIPC. 
Applicants have rights under the federal law:
Equal Employment Opportunity is the Law
Polygraph Protection Act
FMLA