Investment intelligence solutions
201-500 employees
Posted today
$110-140k
201-500 employees
Company mission
To partner with investors and wealth managers to optimize their clients’ investment impact.
Role
Who you are
- Experience (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
- Relevant previous role at 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
- 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
- Being a good team player able to interact effectively with a broad range of colleagues across the globe
- 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
What the job involves
- The Compliance Officer will be instrumentally involved in overseeing, administrating 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 on information barriers
- The CO will be reporting to the Chief Compliance Officer (CCO) of ISS and working closely with other teams within the ISS STOXX Compliance Department
- 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
Our take
STOXX, part of the ISS STOXX group of companies, is the administrator of the renowned STOXX and DAX indices which are are licensed to more than 550 companies around the world. The company has existed in some form since 1997, notably operating as Quontigo from 2019 to 2023 (when it found its place with ISS).
Although STOXX keeps its customer base under wraps, it claims to work with some of the world’s largest asset management companies and financial institutions. It has received a massive amount of industry recognition and awards and, alongside its sibling ISS STOXX divisions, is solidly a key player in the space.
Kirsty
Company Specialist at Welcome to the Jungle
Insights
13% employee growth in 12 months
Company
Funding (1 round)
Sep 2019
$720m
GROWTH EQUITY VC
Total funding: $720m
Company HQ
Main-Taunus, Eschborn, Germany
Leadership
Gary Retelny
(President & CEO (ISS STOXX))Has been in their current position since 2011. Formerly Managing Director at MSCI Inc.
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