Surveillance Associate

Market Axess 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

We at Market Axess are growing our Surveillance group and looking to add a Surveillance Associate to our NY-based team. This is an opportunity for an agile and data-driven individual to be both strategic and executionary in their approach to surveillance. As we continue to expand our footprint in the fixed income e-trading market, we seek a Surveillance Associate to meet our increasing volume of business and position us to continue to provide the highest standard of service for which Market Axess is synonymous.

How You'll Help Take Us There

• Perform daily surveillance of real time trading alerts and perform post-trade analysis for both fixed income and equity securities.
• Carry out market surveillance with the aim of finding and reporting on attempts by clients to engage in insider dealing or market manipulation across a range of market abuse typologies.
• Create MI reporting for metrics pertaining to Market Surveillance and support presentation to Senior Firm Leadership
• Develop and serve as a subject matter expert in the performance of Market Surveillance
• Support response to regulatory inquiries, examinations and investigations and Internal Audit
• Continually strengthen regulatory knowledge and experience with SEC, FINRA and MSRB regulatory requirements for financial institutions and an understanding of their impact on Market Surveillance.
• Leverage analytical skills to enhance research and investigations, and use both quantitative and qualitative analysis when making decisions to escalate alerts and potential patterns of issues
• Collaborate across compliance, risk, technology, R&D, trading, and sales to contribute to enhancement initiatives for the Surveillance Program

What We’re Looking for

• BA/BS in a related technical field or equivalent practical experience
• 2+ years of experience in market or trade surveillance
• Knowledge of Fixed Income and Equities products and trading regulations
• Strong data analysis and writing skills to contribute to investigations and other compliance matters, internally and externally
• Strong interpersonal skills, with an emphasis on teamwork, initiative, and integrity
• Comfort working in a trading environment and willingness to innovate, challenge the status quo and adaptability to support ad hoc tasks and projects
• Familiarity with commonly used trade surveillance & BI tool(s)
• Familiarity with and willingness to contribute to AML regulatory requirements and initiatives
• Series 7 required, other professional compliance training or accreditation a plus (e.g. CAMS)

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 Market Axess 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:
  High…