Compliance Officer

About the role

The Compliance Officer will be instrumentally involved in overseeing, administering, 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 information barriers. The Compliance Officer will report to the Chief Compliance Officer (CCO) of ISS and work closely with other teams within the ISS STOXX Compliance Department.

Responsibilities

• Conflicts Framework & Information Barriers
  • 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
• Compliance Program & Risk Oversight
  • 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
• 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 ISS’s 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

• Experience & Expertise
  • 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
  • Previous role at the 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
  • Strong team player able to interact effectively with a broad range of colleagues across the globe
• Education & Credentials
  • At least Juris Doctor (JD) or bachelor’s degree in Finance, Business, or a related field
  • Relevant professional certifications (e.g., CFA, CPA, or equivalent compliance certifications) preferred

Pay

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.

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
• Midtown location – centrally located near Grand Central Station and Port Authority

About ISS STOXX

ISS STOXX delivers world-class research, data, and technology solutions that empower capital market participants to pursue their visions with confidence. Our expertise spans indices, corporate governance, sustainability, cyber risk, and fund intelligence, giving clients the tools they need to uncover opportunities, manage risks, and navigate evolving regulations. We are made up of 4,000 professionals operating across 20 countries and serving approximately 5,000 clients, including many of the world’s leading institutional investors. Our scale and reach give us deep market knowledge, while our innovative methodologies allow us to offer our clients tailored insights that drive impact and success.