Let’s be #BrilliantTogether
The ISS STOXX Compliance Department is responsible for ensuring compliance with all applicable regulations, including compliance by Institutional Shareholder Services Inc. (ISS), an ISS STOXX group company, with the Investment Advisers Act of 1940. We are looking to add a Compliance Analyst to the team to ensure compliance with the relevant SEC rules and to act as Chief Compliance Officer for ISS. This individual will have the primary responsibility for a variety of compliance related activities of ISS as a Registered Investment Adviser. The individual will be part of, able to leverage the capabilities of, the Compliance Department of the ISS STOXX group and will report to the respective team lead.
The candidate must have strong communication skills, be accountable, team-oriented and have strong attention to detail. This will be a highly visible role and requires a high degree of professionalism and integrity with a demonstrated ability to handle confidential issues with maturity, tact and sensitivity.
RESPONSIBILITIES:
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Monitoring SEC rules and regulations
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Creating, maintaining and enhancing policies and procedures
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Owning and performing risk-based controls
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Supporting the remediation of weaknesses
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Assessing the effectiveness of the ISS compliance program
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Providing comprehensive periodic and ad-hoc reporting to management
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Ensure comprehensive and timely filings to the SEC
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Keeping records of compliance documentation
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Participating in customer due diligence presentations
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Contributing to internal and external audits\
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Conducting internal compliance reviews and investigations, and reporting of findings
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Performing compliance training programs
REQUIREMENTS:
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2+ years of experience in a similar role, preferably with an investment advisor or a broker dealer
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Proven familiarity with the Investment Advisers Act of 1940, the relevant SEC rules and the Commission´s practices
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Law degree or legal background a plus
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Ability to interact independently and effectively with senior management and staff involved globally
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Strong organizational skills and attention to detail
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Bachelor’s degree or higher required
This role will be based in our Rockville office. The Rockville office is located one mile from the Shady Grove Red Line metro station, with free shuttle service between the metro and office.
Base salary: The Rockville, MD expected base pay range is $80,000- $90,000 per year. Exact compensation may vary based on skills, experience, and level of education. The role is bonus eligible.
#LI-MK1 #ASSOCIATE #Legal
What you can expect from us
Our people are the moving force behind ISS STOXX. We are dedicated to hiring the best, most talented people in our industry and empowering them with the resources and support to enhance their career, health, financial and personal well-being.
We are committed to fostering, cultivating, and preserving a culture of diversity and inclusion. We are invested in our people and are working every day to ensure a diverse, equitable, and inclusive workplace.
Let’s empower, collaborate, and inspire one another.
Let’s be #BrilliantTogether.
About ISS STOXX
ISS STOXX GmbH is a leading provider of research and technology solutions for the financial market. Established in 1985, we offer top-notch benchmark and custom indices globally, helping clients identify investment opportunities and manage portfolio risks. Our services cover corporate governance, sustainability, cyber risk, and fund intelligence. Majority-owned by Deutsche Börse Group, ISS STOXX has over 3,400 professionals in 33 locations worldwide, serving around 6,400 clients, including institutional investors and companies focused on ESG, cyber, and governance risk. Clients trust our expertise to make informed decisions for their stakeholders' benefit.
Visit our website: https://www.issgovernance.com
View additional open roles: https://www.issgovernance.com/join-the-iss-team/
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
Institutional Shareholder Services Inc. (ISS) is an equal employment opportunity employer and does not discriminate 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 expression, pregnancy status, marital status, familial status, mental or physical disability, veteran status, military service or status, genetic information, or any other characteristic protected by law (referred to as “protected status”). All activities including, but not limited to, recruiting and hiring, recruitment advertising, promotions, performance appraisals, training, job assignments, compensation, demotions, transfers, terminations (including layoffs), benefits, and other terms, conditions, and privileges of employment, are and will be administered on a non-discriminatory basis, consistent with all applicable federal, state, and local requirements. For more information, please view https://www.dol.gov/agencies/ofccp/posters.
ISS is committed to complying fully with the Americans with Disabilities Act (ADA) and other applicable federal, state, and local laws. ISS is also committed to ensuring equal opportunity in employment for qualified person with disabilities. ISS prohibits discrimination against applicants and employees on the basis of disability as it pertains to the job application and hiring process and other terms and conditions of employment. If you are an individual with a disability and would like to request a reasonable accommodation as part of the employment selection process, please contact [email protected]. This email is created exclusively to assist disabled job seekers where disability prevents them from being able to apply online. Only messages left for this purpose will be returned. Messages sent for other purposes, such as following up on an application or other technical issues not related to a disability, will not receive a response.
Top Skills
What We Do
Founded in 1985, Institutional Shareholder Services group of companies (ISS) empowers investors and companies to build for long-term and sustainable growth by providing high-quality data, analytics and insight. ISS, which is majority owned by Deutsche Bourse Group, along with Genstar Capital and ISS management, is a leading provider of corporate governance and responsible investment solutions, market intelligence, fund services, and events and editorial content for institutional investors and corporations, globally. ISS’ 2,200 employees operate worldwide across 29 global locations in 15 countries. It’s approximately 3,100 clients include many of the world’s leading institutional investors who rely on ISS’ objective and impartial offerings, as well as public companies focused on ESG and governance risk mitigation as a shareholder value enhancing measure. Clients rely on ISS’ expertise to help them make informed investment decisions.
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