Ria Compliance Jobs (NOW HIRING)

Let's be #BrilliantTogether
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 (Advisers Act). The CCO is accountable for ensuring the firm's ongoing adherence to applicable requirements under the Advisers Act and other U.S. laws and rules that apply to its business.
The role provides strategic and operational leadership to maintain a robust, risk-based compliance framework, promote a strong culture of integrity, and support business activities within a well-controlled regulatory environment, consistent with ISS STOXX group standards.
The CCO reports to the Global Chief Compliance Officer of ISS STOXX, as well as to the General Counsel of ISS.
Key Responsibilities

• 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, including testing 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 recordkeeping 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

Requirements / Qualifications
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 and ideally also in a highly regulated 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.
#LI-JB1 #DIRECTOR #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 grow-professionally and personally.
Together, we foster an environment that fuels creativity, drives innovation, and shapes our future success.
Let's empower, collaborate, and inspire.
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 ISS_Careers_Accommodations@issgovernance.com. 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.