Compliance Associate

Let’s be #BrilliantTogether

The ISS STOXX Compliance department is looking to add a Compliance Associate in building its Compliance Management System. This individual will primarily have day-to-day responsibility for a variety of compliance related activities including those unique to Registered Investment Advisers. The candidate must have strong communication skills, be accountable, punctual, and have a strong attention to detail. This will be a highly visible role and requires a high degree of professionalism and integrity with a demonstrated ability to handle confidential issues with maturity, tact and sensitivity.      

 

RESPONSIBILITIES: 

 

• Demonstrate knowledge of the Investment Advisers Act of 1940, including Rule 206(4)-7. 

• Perform compliance risk assessments and provide recommendations to reduce risk. 

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

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

• Participate in client due diligence presentations. 

• Interface with regulatory agencies as needed. 

• Work within the department to provide reporting to interested parties. 

• Handle one-off / special projects as the need arises. 

 

REQUIREMENTS: 

• Bachelor’s degree; 

• Three years experience within a registered investment advisor, proxy advisor, or ESG ratings provider highly preferred; 

• Compliance experience a plus; 

• Strong verbal and written communication skills; 

• Strong organizational skills and ability to manage multiple projects simultaneously; 

• High level of accuracy and attention to detail; 

• Independent initiative and critical thinking skills; 

• Knowledgeable in Microsoft Office.  

This role will be based in our Rockville, MD office.

• The Rockville office located is one mile from the Shady Grove Red Line metro station, with free shuttle service between the metro and office..

​Base salary: The Rockville, MD expected base pay range is $70,000- $80,000 per year. Exact compensation may vary based on skills, experience, and level of education.

The role is bonus or sales incentive eligible.

#LI-JB1 #ASSOCIATE #Legal

What you can expect from us

Our people are the moving force behind ISS STOXX. We are dedicated to hiring the best, most talented people in our industry and empowering them with the resources and support to enhance their career, health, financial and personal well-being. 

We are committed to fostering, cultivating, and preserving a culture of diversity and inclusion. We are invested in our people and are working every day to ensure a diverse, equitable, and inclusive workplace.

Let’s empower, collaborate, and inspire one another. 

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.