Compliance Officer
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Description
- The Compliance Officer will be instrumentally involved in overseeing, administrating and enhancing the Compliance Program of Institutional Shareholder Services Inc
- (“ISS”), a U.S.- registered investment adviser under the Investment Advisers Act of 1940, covering also its foreign affiliates
- This role is a senior position within the ISS Compliance function, with a primary focus on the management of conflicts of interest and on information barriers
- The CO will be reporting to the Chief Compliance Officer (CCO) of ISS and working closely with other teams within the ISS STOXX Compliance Department
- Conflicts Framework & Information Barriers
- Lead the design, implementation, and continuous enhancement of ISS’s information barrier and conflicts of interest framework
- Ensure alignment with regulatory requirements, including fiduciary obligations under the Advisers Act
- Oversee adherence to information barrier controls through structured monitoring, reviews, and escalation mechanisms
- Act as a trusted advisor and effective challenger to business units on conflicts-related matters and governance decisions
- Drive remediation of breaches, including root cause analysis, corrective action plans, and lessons learned
- Provide transparent and structured reporting to senior management on conflicts risk and control effectiveness
- Compliance Program & Risk Oversight
- Identify, assess, and mitigate compliance risks across ISS’s RIA activities
- Contribute to the ongoing development and execution of the compliance monitoring and testing program under Rule 206(4)-7
- Lead or support internal investigations, incident handling, and escalation processes
- Ensure robust documentation and recordkeeping in line with SEC requirements
- Regulatory Engagement & Governance
- Support and coordinate SEC examinations, regulatory inquiries, and internal/external audits
- Contribute to regulatory filings, including Form ADV and related disclosures
- Monitor regulatory developments and assess their impact on ISS’s business model and compliance framework
- Prepare high-quality reporting for senior management and governance bodies
- Advisory & Business Engagement
- Provide clear, pragmatic, and risk-based compliance advice to senior stakeholders
- Support client-facing activities, including due diligence questionnaires and RFP processes
- Design and deliver targeted compliance training programs across the organization
- Experience (ideally 5 – 8 years) in senior compliance, risk management, legal, or regulatory roles within the financial services sector, with a significant portion in an SEC-registered investment adviser and/or a highly regulated environment
- Relevant previous role at SEC or other regulatory agency would be a plus as well as exposure to SEC exams and enforcement
- Strong expertise in designing and operating frameworks for the management of conflicts of interest and information barriers
- Knowledge of the Advisers Act and related SEC rules
- Excellent analytical and judgment skills
- Familiarity with COSO Three Lines of Defense Model
- Ability to operate effectively in a global, matrixed organization and manage competing priorities
- Excellent communication and stakeholder management skills across all levels of the organization
- High integrity and strong commitment to ethical standards and professional conduct
- At least Juris Doctor (JD) or bachelor’s degree in Finance, Business or a related field
- Ability to combine a systemic approach to compliance with pragmatism and business-orientation
- Personal Attributes
- Being a good team player able to interact effectively with a broad range of colleagues across the globe
- Relevant professional certifications (e.g., CFA, CPA, or equivalent compliance certifications) preferred
- High level of attention to detail combined with the ability to operate strategically
