Institutional Shareholder Services, Inc.

  • Compliance Associate

    Job Locations US-MD-Rockville
    Job ID
    2019-2315
    Category
    Legal
  • Overview

    ISS’ Compliance department is looking to add a Compliance Associate to the team. The role includes assisting the department with disclosures made to current and prospective clients, on-going monitoring and assessment of firm-wide policies and controls and implementing a training regimen for employees globally. The candidate must be able to work as part of a small team, be accountable, punctual, and have a strong attention to detail.

     

    The role requires close coordination with the Chief Compliance Officer and members of the Sales, Marketing, and Information Technology (IT) groups. The candidate will need to learn about and understand all aspects of ISS’ business and will interact with ISS personnel at all levels. The position is based in ISS’ Rockville, MD office and may potentially require travel to ISS’ other global offices.

    Responsibilities

    This position will report to the Chief Compliance Officer. Key aspects include the following:

    • Monitoring and providing guidance on the securities trading activities of staff, including: enhancing ISS’ securities monitoring system, reviewing potential conflicts of interest that emerge during securities trading reviews, and oversight of the creation of reports for use by the Compliance department
    • Management of compliance certification and reporting processes, including new hire and annual certifications, and following up on any potential conflicts that are identified during these processes.
    • Identify potential and actual violations of company policies and procedures through forensic testing.
    • Coordinate with the Sales and Marketing departments to address client inquiries, due diligence questionnaires, and requests for proposals.
    • Assisting the Chief Compliance Officer with internal compliance reviews, investigations, and reporting of findings.
    • Develop and implement periodic training for employees to ensure employee awareness of core compliance policies.

    This will be a highly visible role within the organization and will require a high degree of professionalism and integrity with a demonstrated ability to handle confidential issues with maturity, tact and sensitivity.

    Qualifications

    • Bachelor’s degree or higher, plus relevant work experience
    • 1–3 years’ experience in the compliance field
    • Experience at a regulated investment manager or broker dealer, or other regulated securities business, and/or experience with a securities regulatory authority preferred but not required
    • Experience with FIS Protegent PTA a strong plus; experience with a similar system also 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
    • Highly knowledgeable in Microsoft Office

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