OTC Markets Group Inc. is seeking a Securities Law Paralegal with strong experience working with publicly traded companies and handling Blue Sky filings. The candidate will work with our corporate clients to identify exemptions from registration and prepare registration filings in states where no exemptions are available. The candidate will be a subject matter expert and work with the sales team to discuss blue sky compliance with potential clients. |
The position is located in OTC Markets Groups ’ Washington, D.C. office, located between Capitol Hill and the Navy Yard in Southeast D.C. The candidate will report to the Director of Issuer Compliance.
• Working with public companies traded in the U.S. OTC marketplace to determine compliance with state securities laws for secondary trading.
• Researching states securities registration requirements.
• Prepare and file applications for registration and state exemptions filing and communicating with state securities examiners.
• Maintain blue sky profiles for clients and manage annual renewal filings.
• Collaborate with the Issuer Services ’ team to deliver high-quality service and information to companies whose stock is traded over-the-counter (OTC).
• Additional responsibilities will include OTC issuer compliance monitoring.
• B.A. or paralegal certificate
• Qualified candidates must have 2+ years of securities law paralegal experience
• Knowledge of Federal and State securities laws
• Excellent organizational and communication skills
• Motivated, learns fast and is able to work well within a team or individually
• Good customer service skills, is courteous, and works effectively with diverse groups of people at various levels within an organization
About OTC Markets Group Inc.
OTC Markets Group Inc. (OTCQX: OTCM) operates Open, Transparent and Connected financial marketplaces for 10,000 U.S. and global securities. Through our OTC Link© ATS, we directly link a diverse network of broker-dealers that provide liquidity and execution services for a wide spectrum of securities. We organize these securities into marketplaces to better inform investors of opportunities and risks – OTCQX© - The Intelligent Marketplace for the Best OTC Companies; OTCQB© - The Venture Marketplace; and OTC Pink© - The Open Marketplace.
OTC Link ATS operated by OTC Link LLC, member FINRA/SIPC and SEC registered ATS.