Issgovernance

Issgovernance

Chief Compliance Officer

Rockville, MD, US · Exec

Sponsorship not specified$170k-$200kDetected 30 days ago
ComplianceStakeholder ManagementCorporate LawResearchLeadershipCommunicationCFA

About the role

  • Let's be #BrilliantTogether 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).
  • The CCO reports to the Global Chief Compliance Officer of ISS STOXX, as well as to the General Counsel of ISS.

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
  • 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
  • Lead the identification, assessment, and mitigation of compliance risks across ISS's RIA operations
  • Maintain a risk-based compliance monitoring and testing program aligned with the firm's risk profile
  • Lead internal reviews, investigations, and incident management, including complaints and escalation processes
  • Act as the primary point of contact for the SEC and manage examinations, inspections, and regulatory engagement
  • Support client-facing activities, including due diligence requests, questionnaires, and RFPs
  • Develop and deliver compliance training to promote awareness and adherence to regulatory obligations

Nice to have

  • Compliance Framework & Governance
  • 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
  • Oversee execution of compliance controls, surveillance activities, and thematic reviews
  • Ensure robust recordkeeping and documentation in accordance with SEC and other applicable requirements
  • 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

Compensation

  • 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.

Benefits

  • Medical, Dental, and Vision coverage
  • Flexible Spending Account (FSA) and commuter benefit programs
  • Generous paid time off
  • Paid parental leave
  • The role is bonus eligible.
  • Clients trust our expertise to make informed decisions for their stakeholders' benefit.
  • We are proud to offer the following featured benefits

Visa & Work Authorization

  • iminate against any employee or applicant because of race, color, ethnicity, creed, religion, sex, age, height, weight, citizenship status, national origin, social origin, sexual orientation, gender identity or gender ex
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