Compliance Specialist (EU Regulatory)

Lets be #BrilliantTogether

ISS STOXX is actively looking for a Compliance Specialist (EU Regulatory) to join the Gurugram team.

Overview:

The ISS STOXX Compliance department is looking to hire a Compliance specialist to the EU Regulatory team. This individual will report to the Head of Regulatory Compliance Europe and perform a variety of tasks to ensure that ISS STOXX businesses comply with material EU laws and regulations primarily focusing on the EU Benchmark Regulation (BMR) the EU ESG Rating Regulation (ESGR) and the EU Green Bonds Regulation but also touching other EU financial regulations such as Market Abuse Regulation (MAR) UCITS Directive Sustainable Finance Disclosure Regulation (SFDR) and others.

This role will require to work closely with the business lines to achieve full and ongoing compliance with all material requirements. Hence experience in dealing with financial regulations and ability to understand business processes is strongly required.
Furthermore as this role will contribute to the continuous interactions with high level stakeholders including ISS STOXX top management the candidate must be reliable and have a high degree of professionalism strong communication skills and a keen attention to detail.

Responsibilities:

• Understand and assess the implications of regulatory requirements for the ISS STOXX businesses and support the relevant implementation.

• Contribute to the ISS STOXX Compliance Management System (CMS) through a variety of activities such as maintaining legal inventories contributing to control testing activity and assisting with the mitigation of compliance findings.

• Perform risk-assessments

• Work with the business to review and test first line compliance controls and identify potential gaps

• Administer and formally record testing and monitoring items as part of the compliance program

• Draft and revise procedures / processes for new and existing second line controls

• Escalate issues proactively and timely

• Communicate with employees to gather information and resolve compliance violations.

• Properly document the review of surveillance findings in the compliance system and formally close out system alerts.

• Assist in regulatory and internal investigations.

• Assist with the coordination of the external audits (3rd line of defense).

• Develop and deliver compliance trainings to employees on material regulatory topics.

• Contribute in client due diligence requests.

• Work with the business and other relevant teams to provide accurate reporting to the ISS STOXX management and other stakeholders.

• Handle other compliance tasks and activity as the need arises.

Qualifications:

• Masters degree in Business law / Corporate Finance / Compliance with 2 years of relevant work experience. Plus to have: (comprehensive understanding of Investment and Securities is highly desirable).

• Experience in compliance or auditing with a registered investment adviser or equivalent experience at a financial institution desired.

• Experience monitoring Code of Ethics reporting in an automated compliance system desired.

• Advanced knowledge of Microsoft Office Suite.

• Strong English skills.

• Ability to be proactive and follow up to resolve issues.

• Demonstrate sound judgment and apply logical and critical thought process.

• Excellent research and analytical skills.

• Excellent verbal and written communication skills.

• Strong organization skills and attention to detail.

• Ability to work flexible working hours

• High degree of professionalism and integrity with a demonstrated ability to handle confidential issues with maturity tact and sensitivity.

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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 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 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.

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Institutional Shareholder Services (ISS) is committed to fostering cultivating and preserving a culture of diversity and inclusion. It is our policy to prohibit discrimination or harassment against any applicant or employee on the basis 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.