Chief Risk Compliance Officer Jobs in Silver Spring, MD

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. The CCO ensures the firm’s ongoing adherence to applicable requirements under the Advisers Act and other U.S. laws and rules that apply to its business, while providing strategic and operational leadership to maintain a robust, risk‑based compliance framework.

• Compliance Framework & Governance

  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; test 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; operate with appropriate independence, authority, and access to senior management consistent with regulatory expectations.

• Regulatory Monitoring & Risk Management

  Monitor, assess, and communicate regulatory developments relevant to investment advisers and ISS business activities; 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.

• Compliance Oversight & Controls

  Oversee execution of compliance controls, surveillance activities, and thematic reviews; lead internal reviews, investigations, and incident management, including complaints and escalation processes; ensure robust record‑keeping and documentation in accordance with SEC and other applicable requirements.

• Regulatory Interaction & Filings

  Act as the primary point of contact for the SEC and manage examinations, inspections, and regulatory engagement; oversee the preparation and submission of regulatory filings, including Form ADV and related disclosures; coordinate internal and external audits related to compliance.

• Advisory & Business Partnership

  Provide clear, pragmatic, and risk‑based compliance advice to senior management and business functions; support client‑facing activities, including due diligence requests, questionnaires, and RFPs; enable business growth by ensuring regulatory requirements are addressed in a commercially practical manner.

• Reporting & Training

  Report regularly to senior management and relevant governance bodies on compliance matters, risks, and program effectiveness; develop and deliver compliance training to promote awareness and adherence to regulatory obligations; foster a culture of integrity and accountability across ISS.

• Experience & Expertise

  Extensive experience (typically 10–15+ years) in compliance, legal, or regulatory roles within the financial services sector, with a significant portion in an SEC‑registered investment adviser or comparable environment; proven track record serving as CCO or in a senior compliance leadership role with direct responsibility for an RIA compliance program; deep knowledge of the Advisers Act and related SEC rules, including practical experience managing SEC examinations and regulatory engagement.

• Leadership & Governance

  Demonstrated ability to lead, scale, and develop high‑performing compliance teams in an international environment; experience interacting with senior management, boards, and regulators, with the ability to provide clear and credible challenge; ability to balance independence and oversight with a pragmatic, business‑oriented approach.

• Technical & Professional Skills

  Strong expertise in designing and operating risk‑based compliance programs, including monitoring, testing, and controls; familiarity with COSO Three Lines of Defense Model; excellent analytical and judgment skills, with the ability to identify emerging risks and translate regulatory requirements into practical solutions; 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.

• Education & Credentials

  At least bachelor’s degree in law, finance, business, or a related field; relevant professional certifications (e.g., CFA, CPA, or equivalent compliance certifications) preferred.

Base salary: 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. The role is bonus eligible.

• 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 administered on a non‑discriminatory basis, consistent with all applicable federal, state, and local requirements. 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 persons 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 ISS_Careers_Accommodations@issgovernance.com.