Trading Compliance Analyst

OTC Markets Group Inc., operator of premier US financial marketplaces, is seeking an Associate level Trading Compliance Analyst to join our OTC Link ATS team. 

Please note this position is fully onsite and commutes to our Manhattan office 5 times a week.

Our Core Values are incorporated in each aspect of our Company. We encourage autonomy, professionally passionate discussions of opposing viewpoints, creativity, and transparency. We are Open, Transparent, and Connected. We are OTC strong. At OTC Markets, we all win together.

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.

Responsibilities:
* Review and analyze trading data and other data sets
* Maintain documentation for Compliance oversight data
* Partner with Chief Compliance Officer (CCO) in information gathering from multiple teams across the organization
* Assist in project work related to Reg SCI, Reg ATS and CAT
* Partner with members of the team on broker dealer related tasks
* Assist in preparation of draft Regulatory filings
* Support CCO in a variety of compliance related tasks
* Additional duties, as assigned
Qualifications:
* Bachelor degree in Business, Finance, or Data Analytics highly preferred
* Minimum of 2+ years experience in data analysis and reporting
* Knowledge of regulatory and securities compliance laws
* Strong analytical and critical thinking skills for the development of data-driven results
* Strong written and verbal communication skills to develop relationships across levels and teams
* Knowledge of MS Office Suite; advanced knowledge of MS Excel
* Series 7 and Series 24 current or in-process (ability to pass in-process license within 6 months)
Salary: up to $100,000, depending on experience. In addition, the position is eligible for stock options and annual bonus program.

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)
   

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.

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