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.