Compliance Analyst
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Job Description
About the Company:
ISS STOXX GmbH is a leading provider of research and technology solutions for the financial market, established in 1985. They offer benchmark and custom indices globally, assisting clients in identifying investment opportunities and managing portfolio risks. Their 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.
Job Description:
ISS STOXX is seeking a Compliance Analyst to join its Compliance Department. This 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. The Compliance Analyst will be responsible for various compliance-related activities of ISS as a Registered Investment Adviser and will act as Chief Compliance Officer for ISS.
Responsibilities:
• Monitoring SEC rules and regulations.
• Creating, maintaining, and enhancing policies and procedures.
• Owning and performing risk-based controls.
• Supporting the remediation of weaknesses.
• Assessing the effectiveness of the ISS compliance program.
• Providing comprehensive periodic and ad-hoc reporting to management.
• Ensuring 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 Commission´s practices.
• Law degree or legal background is a plus.
• Ability to interact independently and effectively with senior management and staff involved globally.
• Strong organizational skills and attention to detail.
• Bachelor’s degree or higher required.
Location:
Rockville office
Salary:
The Rockville, MD expected base pay range is $80,000- $90,000 per year. Exact compensation may vary based on skills, experience, and level of education. The role is bonus eligible.
