About Us
MarketAxess is on a journey to digitally transform one of the world’s largest financial markets, enabling the shift from analog, phone-based trading to a fully electronic marketplace. Why does this matter? Because our platform makes trading fixed-income more accessible, ultimately improving transparency, efficiency, and competition in the marketplace. Changing the way an established industry transacts is no easy feat. There will be twists and turns, because no one’s ever done this before. But now, more than 2,000 clients around the world rely on our solutions, and that number is only expected to grow in the years ahead. We know where we’re going. How we get there is up to us. Join us and help Take Us There.
The Role
As MarketAxess expands both domestically and internationally, we are looking to add an Assistant Chief Compliance Officer to our regulatory compliance team. This role is based on site at our Global Headquarters in Hudson Yards, NYC, four (4) days a week, plus one (1) day at home. This position will report directly to the firm’s Chief Compliance Officer.
How You'll Help Take Us There
- Manage core broker-dealer compliance obligations, including reviewing and updating compliance policies and procedures, as well as oversight of the firm’s compliance monitoring program.
- Advise the business on compliance matters.
- Present key findings and recommendations to senior leadership. Elevate issues, identify, priorities, and track follow-up items to ensure they are appropriately resolved.
- Demonstrate initiative by identifying regulatory requirements impacting the broker-dealer and proactively providing advice and recommendations to the business, senior leaders, and Compliance leadership.
- Interface on a regular basis with external parties (regulators, system participants and technology vendors).
- Planning and managing risk assessments.
- Manage regulatory exams and inquiries.
- Design and implement our employee compliance training program.
- Assist in the preparation of periodic regulatory filings and annual compliance reports.
- Planning and managing ad hoc compliance oriented projects.
- Actively seek tools and technology to improve current operations and processes.
What We’re Looking for
- Bachelor's degree required, JD preferred
- 8+ years of compliance advisory experience. Ideally at a regulator, bank, or broker-dealer
- Strong knowledge of broker-dealer rules related to institutional equities and/or fixed income trading
- High attention to detail, exceptional analytical skills, and strong judgment skills
- Excellent organizational skills; the ability to effectively prioritize tasks and execute on them
- Strong written and verbal communication skills and interpersonal skills to work effectively with internal and external stakeholders
- Experience drafting and implementing compliance policies and procedures
- FINRA Series 7, 24, 63 required
- Prior experience with a relevant regulator (FINRA, SEC) is a plus
What You Can Expect from Us
- Free Food: We provide free lunch for employees when they are working in the office. Plus, our offices are stocked with snacks.
- Paid Time Off: Competitive PTO package including vacation and personal days, sick leave and charity days
- Generous Parental Leave: Up to 20 weeks fully paid leave
- 401(k): Dollar-for-dollar employer match up to $17,500
- Employee Stock Purchase Plan: Employees can purchase MarketAxess common stock at a discount
- Wellness Stipend: We provide employees with up to $1K annually towards gym memberships, home office equipment and more
- Onsite Healthcare: We offer convenient access to world-class care through Mount Sinai at our Hudson Yards location
- Tuition Assistance and Professional Development: Benefit from live and on-demand learning, role-specific training, employee-led Lunch and Learns and guest speakers
- Core benefits: Highly competitive medical, dental, and vision programs
For job positions in NYC, NY, and other locations where required, the estimated salary range for a new hire into this position is $200,000 USD to $250,000 USD. Actual salary may vary depending on job-related factors, which may include knowledge, skills, experience, and location. You may also be eligible for annual cash incentives, equity, and other benefit programs.
MarketAxess Corporation and its affiliates provide equal employment opportunities to all persons regardless of age, color, national origin, citizenship status, physical or mental disability, race, religion, creed, gender, sex, sexual orientation, gender identity and/or expression, genetic information, marital status, veteran status, or any other legally protected characteristic in the location in which the candidate is applying.
All of your information will be kept confidential according to EEO guidelines.
MarketAxess Privacy Notice for Candidates
CCPA Notice at Collection for California Employees and Applicants
What the Team is Saying
What We Do
MarketAxess is on a journey to digitally transform one of the world's largest financial markets, enabling the shift from analog, phone-based trading to a fully electronic marketplace.
Why does this matter? Because our platform makes trading fixed-income more accessible, ultimately improving transparency, efficiency and competition in the marketplace.
Changing the way an established industry transacts is no easy feat. There will be twists and turns because no one’s ever done this before. But now, more than 2,000 companies around the world rely on our solutions, and that number is only expected to grow in the years ahead.
We know where we’re going. How we get there is up to us. Join us and help Take Us There.
Why Work With Us
When we say we have an environment without endless layers, we really mean it. You’ll work alongside talented colleagues of all backgrounds and experience in an environment where your voice is valued. You’ll be in the middle of the action, where your contributions will be seen and recognized.
Gallery
MarketAxess Teams
MarketAxess Offices
Hybrid Workspace
Employees engage in a combination of remote and on-site work.
