Chief Compliance Officer

ISS STOXX•Rockville, MD

1d•$170,000 - $200,000•Hybrid

About The Position

The Chief Compliance Officer (CCO) is responsible for overseeing and administering the Compliance Program of Institutional Shareholder Services Inc. (“ISS”) and its foreign affiliates. The CCO acts as the designated compliance officer for ISS, a U.S.-registered investment adviser (RIA) under the Investment Advisers Act of 1940 (Advisers Act). The CCO is accountable for ensuring the firm’s ongoing adherence to applicable requirements under the Advisers Act and other U.S. laws and rules that apply to its business. The role provides strategic and operational leadership to maintain a robust, risk-based compliance framework, promote a strong culture of integrity, and support business activities within a well-controlled regulatory environment, consistent with ISS STOXX group standards. The CCO reports to the Global Chief Compliance Officer of ISS STOXX, as well as to the General Counsel of ISS.

Requirements

Extensive experience (typically 10–15+ years) in compliance, legal, or regulatory roles within the financial services sector, with a significant portion in an SEC-registered investment adviser or comparable environment
Proven track record serving as CCO or in a senior compliance leadership role with direct responsibility for an RIA compliance program
Deep knowledge of the Advisers Act and related SEC rules, including practical experience managing SEC examinations and regulatory engagement
Demonstrated ability to lead, scale, and develop high-performing compliance teams in an international environment
Experience interacting with senior management, boards, and regulators, with the ability to provide clear and credible challenge
Ability to balance independence and oversight with a pragmatic, business-oriented approach
Strong expertise in designing and operating risk-based compliance programs, including monitoring, testing, and controls
Familiarity with COSO Three Lines of Defense Model
Excellent analytical and judgment skills, with the ability to identify emerging risks and translate regulatory requirements into practical solutions
High level of attention to detail combined with the ability to operate strategically
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
At least bachelor’s degree in law, Finance, Business, or a related field

Nice To Haves

Relevant professional certifications (e.g., CFA, CPA, or equivalent compliance certifications) preferred

Responsibilities

Own, design, and continuously enhance the ISS Compliance Program in line with SEC and other applicable regulatory requirements and ISS STOXX group standards
Maintain and evolve the firm’s Code of Ethics, Compliance Manual, and related policies and procedures, including testing the sufficiency and effectiveness of the Compliance Program in accordance with Advisers Act Rule 206(4)-7
Design and implement policies and procedures related to other U.S. laws and rules, as applicable (e.g., ERISA and Treasury Department (FINCEN) requirements)
Lead and develop a team of compliance professionals, ensuring appropriate expertise, prioritization, and delivery
Operate with appropriate independence, authority, and access to senior management consistent with regulatory expectations
Monitor, assess, and communicate regulatory developments relevant to investment advisers and ISS business activities
Lead the identification, assessment, and mitigation of compliance risks across ISS’s RIA operations
Maintain a risk-based compliance monitoring and testing program aligned with the firm’s risk profile
Oversee execution of compliance controls, surveillance activities, and thematic reviews
Lead internal reviews, investigations, and incident management, including complaints and escalation processes
Ensure robust recordkeeping and documentation in accordance with SEC and other applicable requirements
Act as the primary point of contact for the SEC and manage examinations, inspections, and regulatory engagement
Oversee the preparation and submission of regulatory filings, including Form ADV and related disclosures
Coordinate internal and external audits related to compliance
Provide clear, pragmatic, and risk-based compliance advice to senior management and business functions
Support client-facing activities, including due diligence requests, questionnaires, and RFPs
Enable business growth by ensuring regulatory requirements are addressed in a commercially practical manner
Report regularly to senior management and relevant governance bodies on compliance matters, risks, and program effectiveness
Develop and deliver compliance training to promote awareness and adherence to regulatory obligations
Foster a culture of integrity and accountability across ISS