The Role
Supports trading-platform compliance through maintaining Written Supervisory Procedures, coordinating AML and SCI initiatives, tracking projects, assisting with regulatory exams and audits, and responding to subscriber questions. The role collaborates with Operations, Technology, Compliance, and Subscriber Services teams while analyzing data and supporting remediation and special projects.
Summary Generated by Built In
OTC Markets Group Inc.
Trading Compliance Analyst - OTC Link
OTC Link – New York - Full Time
Trading Compliance Analyst - OTC Link
OTC Link – New York - Full Time
OTC Markets Group is an established financial technology company redefining the future of public markets. We operate trading platforms for the industry's top broker-dealers to trade over 12,000 securities, from startups to world leading international companies. Headquartered in New York City, OTC Markets Group also provides the market data, disclosure, and compliance solutions, including Blue Sky monitoring, which 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 Link is OTC Markets Group’s SEC-registered alternative trading system, operated by OTC Link LLC, a FINRA member broker-dealer. OTC Link provides the electronic quotation and messaging infrastructure to quote and trade securities across the QTCQX Best Market, QTCQB Venture Market, OTCID Basic Market and Pink Limited Market. Through our expanding suite of trading venues, including OTC Link ATS, OTC Link ECN, OTC Link NQB and Moon ATS, OTC Link also supports electronic and overnight trading in both OTC and exchange listed securities.
The Trading Compliance Analyst is a great opportunity for someone early in their career to learn how a regulated marketplace works from the inside. In this role, you’ll support the team that keeps OTC Markets’ trading platforms compliant, helping to maintain the procedures that guide the business and pitching in on AML and SCI initiatives by keeping projects organized, tracking progress, and making sure follow-ups don’t fall through the cracks. As you get to know the trading platforms, you’ll start answering subscriber questions about how they work, and you’ll get hands-on experience with regulatory exams, audits, and testing while working with Operations, Technology, Compliance, and Subscriber Services Teams, giving you a broad view of the business and plenty of room to build your skills and grow.
This role is on-site 5 days per week.
Required Qualifications:
The successful candidate will have:
- 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
- Curiosity about market structure, trading technology, and capital markets.
- High attention to detail and strong follow-up discipline.
- Ability to build rapport with subscribers and internal stakeholders.
- Analytical mindset with comfort reviewing activity and trends.
- Collaborative team orientation and willingness to support broader initiatives.
- Resilience, professionalism, and confidence in a fast-paced client-facing environment.
- 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.
The target base salary for this role is between $90,000-$115,000, 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.
What We Offer:
- 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)
- NYC Monday Bagels
- NYC Wednesday Pizzas
Applicants have rights under Federal Law:
Equal Employment Opportunity is the Law
Polygraph Protection Act
FMLA
Pay Transparency Law for Employees/Applicants (P688)
Skills Required
- Bachelor's degree in business, Finance, Economics, Communications, or a related field
- Basic understanding of SQL and ability to query, analyze, and interpret data sets
- Strong attention to detail and ability to maintain a high degree of accuracy
- Project management and organizational skills, including managing multiple priorities
- Strong analytical, problem-solving, written communication, and interpersonal skills
- Ability to work independently and collaboratively in a fast-paced regulatory and technology-driven environment
- Comfort with Microsoft Office applications, particularly Excel, Word, and PowerPoint
- Willingness to obtain SIE and Series 7 licenses
- Curiosity about market structure, trading technology, and capital markets
- Ability to build rapport with subscribers and internal stakeholders
- Analytical mindset with comfort reviewing activity and trends
- Collaborative team orientation and willingness to support broader initiatives
- Resilience, professionalism, and confidence in a fast-paced client-facing environment
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The Company
What We Do
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. To learn more about how we create better informed and more efficient markets, visit www.otcmarkets.com.
