Compliance Officer

ISS STOXX•New York, NY

1d•Hybrid

About The Position

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.

Requirements

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
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
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
At least Juris Doctor (JD) or bachelor’s degree in Finance, Business or a related field

Nice To Haves

Relevant previous role at SEC or other regulatory agency would be a plus
Exposure to SEC exams and enforcement
Strong expertise in designing and operating frameworks for the management of conflicts of interest and information barriers
Relevant professional certifications (e.g., CFA, CPA, or equivalent compliance certifications) preferred

Responsibilities

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
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
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
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