Senior Manager, SEC Reporting & Technical Accounting

MarketAxess•New York, NY

3d•Hybrid

About The Position

As the Senior Manager, SEC Reporting & Technical Accounting, you will be responsible for SEC reporting, technical accounting, and compensation accounting, with the judgment and independence to own complex conclusions and escalation. In this role, you will partner across Finance, Operations, Regulatory Reporting, Legal/Compliance, HR, Audit and external auditors to ensure accurate, timely reporting and strong controls in a regulated, self-clearing broker-dealer environment. This role will serve as a subject matter expert on SEC disclosure best practices, peer benchmarking, and evolving expectations from regulators, auditors, and investors.

Requirements

8+ years progressive accounting experience, including public accounting, public company reporting and regulated financial services exposure.
Deep demonstrated hands-on experience with SEC reporting and ideally broker-dealer financial and regulatory reporting (17a-5 audited financial statements, FOCUS, net capital, customer reserve).
CPA in good standing.
Exceptional attention to detail with a demonstrated track record of producing high‑quality, error‑free SEC filings in a complex, fast‑paced environment.
Strong accounting research skills, including the ability to independently interpret and apply U.S. GAAP, SEC guidance, and emerging accounting standards.
High level of technology fluency, including advanced Excel, financial reporting systems, automation tooling, and comfort adopting emerging AI‑enabled solutions.
Ability to communicate complex accounting concepts clearly and concisely to senior leadership, Audit Committee members, auditors, and non‑finance stakeholders.
Proven ability to operate with judgment and independence, knowing when and how to escalate issues appropriately.
Proven leadership and team management in a publicly traded financial firm.
Advanced knowledge of U.S. GAAP accounting standards, including ASC 606 (Revenue Recognition), ASC 842 (Leases), ASC 805 (Business Combinations).
Experience overseeing compensation accounting and complex accrual judgments, including advanced knowledge of ASC 718 (Stock-based Compensation).
Broker-dealer experience and FINRA Series 27 preferred; ability and interest in obtaining Series 27 within six months of start date required

Nice To Haves

Broker-dealer experience and FINRA Series 27 preferred

Responsibilities

Prepare and review Forms 10-K and 10-Q, ensuring compliance with U.S. GAAP and SEC rules and regulations.
Draft and review financial statements, footnotes, MD&A and other required disclosures in accordance with U.S. GAAP and SEC regulations S-X and S-K.
Own 10-K and 10-Q document quality control including iXBRL tagging, tie outs and comment process. Partner with legal to ensure all SEC filing requirements are met.
Monitor new and evolving U.S. GAAP and SEC rules, regulations and disclosure requirements.
Work with Investor Relations on earnings press release 8-K and monthly volume press releases.
Support monthly accounting close and reporting processes, including accounting for unusual or complex transactions.
Own technical accounting policy and judgments affecting disclosures and financial statement presentation; ensure consistent application of accounting policies and controls.
Serve as main point of contact with external auditors on quarterly reviews and annual audits, including documentation of key judgments and controls and technical accounting memos.
Prepare Board Audit Committee materials including technical accounting summaries, significant estimates and judgements, and 10-Q/10-K summaries.
Partner with our CAO and Head of Regulatory Reporting on annual 17a-5 audited financial statements, quarterly 17H filings, monthly FOCUS reporting and FINRA examinations; explain GAAP versus regulatory basis differences clearly to auditors and regulators if needed and help drive remediation of any recurring reconciling items and control gaps.
Oversee compensation accounting and equity administration team and own accounting conclusions across incentive compensation, deferred compensation, stock-based compensation and related complex accruals, ensuring appropriate recognition and documentation.
Partner with HR, compensation, and senior leadership to identify any structures that introduce accounting, regulatory, or capital risk and escalate as needed.
Design and maintain strong internal controls and documentation across SEC external reporting, regulatory reporting, and settlement and clearing processes; drive continuous improvement through automation and AI initiatives.
Serve as a senior finance representative during FINRA exams, SEC inquiries, and routine auditor interactions.
Lead, coach, and develop a high-performing team; set clear expectations and build bench strength for critical reporting and regulatory activities.

Benefits

Hybrid Environment: Our employees enjoy a mix of working in the office and from home
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