Trading Compliance Analyst - OTC Link
About The Position
The Trading Compliance Analyst role is an excellent opportunity for an individual early in their career to gain insight into the operations of a regulated marketplace. This position will support the team responsible for ensuring OTC Markets' trading platforms adhere to compliance standards. Key responsibilities include maintaining procedural documentation, organizing AML and SCI initiatives, tracking project progress, and ensuring timely follow-ups. The role also involves responding to subscriber inquiries about trading platform functionality, participating in regulatory exams, audits, and testing, and collaborating with various internal teams such as Operations, Technology, Compliance, and Subscriber Services. This provides a comprehensive understanding of the business and ample opportunities for skill development and career growth.
Requirements
- 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
Nice To Haves
- 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.
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)
- NYC Monday Bagels
- NYC Wednesday Pizzas
- Stock options
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
