The posting
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.
Key Responsibilities
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
Requirements / Qualifications Experience & Expertise
- 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
- Knowledge of the Advisers Act and related SEC rules
- 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
Professional Skills
- Familiarity with COSO Three Lines of Defense Model
- Excellent analytical and judgment skills
- Ability to combine a systemic approach to compliance with pragmatism and business-orientation
- High level of attention to detail combined with the ability to operate strategically
Personal Attributes
- High integrity and strong commitment to ethical standards and professional conduct
- Excellent communication and stakeholder management skills across all levels of the organization
- Ability to operate effectively in a global, matrixed organization and manage competing priorities
- Being a good team player able to interact effectively with a broad range of colleagues across the globe
Education & Credentials
- At least Juris Doctor (JD) or bachelor’s degree in Finance, Business or a related field
- Relevant professional certifications (e.g., CFA, CPA, or equivalent compliance certifications) preferred
Base salary: The New York City expected base pay range is $110,000 - $140,000 per year. Exact compensation may vary based on skills, experience, and level of education. The role is bonus eligible.
#LI-JB1 #DIRECTOR #LEGAL
What You Can Expect from Us
Our people are the moving force behind our work. We are committed to building a culture that values diverse skills, perspectives, and experiences. If you have the skills, passion, and drive to help us bring clarity and transparency to capital markets, we want to work with you.
Together, we can grow your career in an environment that fuels creativity, drives innovation, and has real impact.
About ISS STOXX
ISS STOXX delivers world-class research, data, and technology solutions that empower capital market participants to pursue their visions with confidence. Our expertise spans indices, corporate governance, sustainability, cyber risk, and fund intelligence, giving clients the tools they need to uncover opportunities, manage risks, and navigate evolving regulations. We are made up of 4,000 professionals operating across 20 countries and serving approximately 5,000 clients, including many of the world’s leading institutional investors. Our scale and reach give us deep market knowledge, while our innovative methodologies allow us to offer our clients tailored insights that drive impact and success.
Visit our website:http:// https://www.iss-stoxx.com/
View additional open roles: https://www.iss-stoxx.com/about/careers/
We are proud to offer the following featured benefits
- Medical, Dental, and Vision coverage
- 401(k) with a company match up to 9%, including a Safe Harbor contribution
- Flexible Spending Account (FSA) and commuter benefit programs
- Generous paid time off
- Volunteer Day
- Paid parental leave
- Hybrid working options
- Midtown - centrally located near Grand Central Station and Port Authority
ISS STOXX is an equal employment opportunity employer and does not discriminate against any employee or applicant because of race, color, ethnicity, creed, religion, sex, age, height, weight, citizenship status, national origin, social origin, sexual orientation, gender identity or gender expression, pregnancy status, marital status, familial status, mental or physical disability, veteran status, military service or status, genetic information, or any other characteristic protected by law (referred to as “protected status”). All activities including, but not limited to, recruiting and hiring, recruitment advertising, promotions, performance appraisals, training, job assignments, compensation, demotions, transfers, terminations (including layoffs), benefits, and other terms, conditions, and privileges of employment, are and will be administered on a non-discriminatory basis, consistent with all applicable federal, state, and local requirements. For more information, please view https://www.dol.gov/agencies/ofccp/posters.
We are committed to ensuring equal opportunity in employment for qualified person with disabilities, fully in compliance with the Americans with Disabilities Act (ADA) in the US along with other applicable jurisdictions in which we operate. We prohibit discrimination against applicants and employees on the basis of disability as it pertains to the job application, hiring process, and other terms and conditions of employment. If you are an individual with a disability and would like to request a reasonable accommodation as part of the employment selection process, please contact [email protected]. This email is created exclusively to assist disabled job seekers where disability prevents them from being able to apply online. Only messages left for this purpose will be returned. Messages sent for other purposes, such as following up on an application or other technical issues not related to a disability, will not receive a response.
