Trading Compliance Intern

OTC Markets Group Inc., operator of premier US financial marketplaces, is seeking a Trading Compliance Intern to join our OTC Link ATS department for a paid internship this summer. This position is scheduled to start on June 17, 2024, and terminate on August 16, 2024.

Please note OTC Markets is currently operating in a hybrid work environment (three days in office, two days remotely).

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:

• Assist the CCO in a variety of compliance related tasks.
• Review and analyze trading data and other data sets.
• Assist in maintaining certain documentation for compliance oversight data.
• Partner with the Chief Compliance Officer and assist in information gathering from multiple teams across the organization.
• Assist in project work related to Reg SCI, Reg ATS, AML, Trade Reporting, and CAT.
• Assist in other broker dealer related tasks.
• Assist in the preparation of draft regulatory filings.

QUALIFICATIONS:

• Self-starter
• Task-oriented and strong attention to detail.
• Proficiency in MS Word, Excel and Outlook.
• Experience conducting research and analyzing data.
• Excellent critical thinking/problem solving skills.
• Excellent verbal and written communication skills.
• Ability to handle multiple assignments and meet deadlines.
• Interested in learning about broker dealer compliance.

This is a paid opportunity: $25/hour.

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