Compliance Officer

Join Institutional Shareholder Services Inc. (ISS), a U.S.-registered investment adviser, as a Compliance Officer. In this senior position, you will oversee and enhance the Compliance Program, focusing on conflicts of interest and information barriers. You will report to the Chief Compliance Officer and work closely with other teams within the ISS STOXX Compliance Department. Your responsibilities will include designing and implementing the conflicts framework, identifying and mitigating compliance risks, supporting regulatory engagement, and providing compliance advice to senior stakeholders.

Missions

• Lead the design, implementation, and continuous enhancement of ISS’s information barrier and conflicts of interest framework, ensuring alignment with regulatory requirements.
• Identify, assess, and mitigate compliance risks across ISS’s RIA activities, contributing to the ongoing development and execution of the compliance monitoring and testing program.
• Provide clear, pragmatic, and risk-based compliance advice to senior stakeholders, supporting client-facing activities and designing targeted compliance training programs.

Profil recherché

- 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