Chief Compliance Officer

About the role

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).

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

• 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

• 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

Qualifications

• 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 and ideally also in a highly regulated 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.

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
Paid parental leave
Hybrid working options