The Compliance Officer will be instrumentally involved in overseeing, administrating and enhancing the Compliance Program of Institutional Shareholder Services Inc. (7ISS8), 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 ISSs 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 ISSs 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 ISSs 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 6 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 bachelors 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.

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