Compliance Associate
Compliance Associate
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Job Description
Lets 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 teamoriented 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:
Monitoring SEC rules and regulations
Creating maintaining and enhancing policies and procedures
Owning and performing riskbased controls
Supporting the remediation of weaknesses
Assessing the effectiveness of the ISS compliance program
Providing comprehensive periodic and adhoc reporting to management
Ensure comprehensive and timely filings to the SEC
Keeping records of compliance documentation
Participating in customer due diligence presentations
Contributing to internal and external audits
Conducting internal compliance reviews and investigations and reporting of findings
Performing compliance training programs
REQUIREMENTS:
2 years of experience in a similar role preferably with an investment advisor or a broker dealer
Proven familiarity with the Investment Advisers Act of 1940 the relevant SEC rules and the Commissions practices
Law degree or legal background a plus
Ability to interact independently and effectively with senior management and staff involved globally
Strong organizational skills and attention to detail
Bachelors 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 $80000 $90000 per year. Exact compensation may vary based on skills experience and level of education. The role is bonus eligible.
#LIMK1 #ASSOCIATE #Legal
What You Can Expect from Us
At ISS STOXX our people are our driving force. We are committed to building a culture that values diverse skills perspectives and experiences. We hire the best talent in our industry and empower them with the resources support and opportunities to growprofessionally and personally.
Together we foster an environment that fuels creativity drives innovation and shapes our future success.
Lets empower collaborate and inspire.
Lets 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 topnotch 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. Majorityowned by Deutsche Brse Group ISS STOXX has over 3400 professionals in 33 locations worldwide serving around 6400 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.
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 nondiscriminatory basis consistent with all applicable federal state and local requirements. For more information please view 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 . 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.
Required Experience:
IC
Employment Type
Full-Time
