Assistant Chief Compliance Officer

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

What You Can Expect from Us

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.

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Salary : $200,000 - $250,000