The Chief Compliance Officer (CCO) is responsible for overseeing and administering the Compliance Program of Institutional Shareholder Services Inc. (7ISS8) 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 firms 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.

Key Responsibilities

• Compliance Framework & Governance
• 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 firms 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

Regulatory Monitoring & Risk Management

• Monitor, assess, and communicate regulatory developments relevant to investment advisers and ISS business activities
• Lead the identification, assessment, and mitigation of compliance risks across ISSs RIA operations
• Maintain a risk-based compliance monitoring and testing program aligned with the firms risk profile

Compliance Oversight & Controls

• 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

Regulatory Interaction & Filings

• 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

Advisory & Business Partnership

• 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

Reporting & Training

• 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

Requirements / Qualifications

Experience & Expertise

• Extensive experience (typically 10 615+ 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

Leadership & Governance

• 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

Technical & Professional Skills

• 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

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

Education & Credentials

• At least bachelors degree in law, Finance, Business, or a related field
• Relevant professional certifications (e.g., CFA, CPA, or equivalent compliance certifications) preferred

Base salary: The Rockville, Maryland expected base pay range is $170,000 - $200,000 per year. Exact compensation may vary based on skills, experience, and level of education. The role is bonus eligible.

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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