Trading Compliance Analyst - OTC LinkOTC Link - New York - Full TimeOTC 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
Preferred Skills and Attributions:- 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.
Responsibilities:- 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.
Salary: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
