Senior Compliance Lead - Conflicts & Info Barriers (Hybrid)

ISS STOXX; New York (NY); On-site; USD 110,000 - 140,000; Full time

Benefits offered by this job

Medical/Dental/Vision

401(k) match

FSA & commuter benefits

Paid time off

Volunteer day

Paid parental leave

Hybrid work options

Midtown Manhattan location

Job summary

ISS STOXX in New York is seeking a senior Compliance Officer to oversee the conflicts of interest framework and information barriers within the Compliance Department. You will report to the CCO and work with teams across the firm.

The role requires 5–8 years in senior compliance or regulatory roles, deep knowledge of the Advisers Act, and a proven ability to design robust controls. We offer a global, matrixed environment with hybrid work options.

Qualifications

• Experience (ideally 5–8 years) in senior compliance, risk management, legal, or regulatory roles within the financial services sector, with a significant portion in an SEC-registered investment adviser and/or a highly regulated environment
• Knowledge of the Advisers Act and related SEC rules
• Relevant previous role at SEC or other regulatory agency would be a plus as well as exposure to SEC exams and enforcement
• Strong expertise in designing and operating frameworks for the management of conflicts of interest and information barriers

Responsibilities

• Lead the design, implementation, and continuous enhancement of ISS’s information barrier and conflicts of interest framework
• Contribute to the ongoing development and execution of the compliance monitoring and testing program under Rule 206(4)-7
• Support SEC examinations, regulatory inquiries, and internal audits
• Provide clear, pragmatic compliance advice to senior stakeholders and assist with due diligence questionnaires and RFPs

Skills

Conflicts of interest

Information barriers

Regulatory compliance

SEC/Regulatory knowledge

Analytical skills

Stakeholder management

Education

Juris Doctor (JD) or Finance/Business degree

CFA or CPA preferred

Job description

ISS STOXX in New York is seeking a senior Compliance Officer to oversee the conflicts of interest framework and information barriers within the Compliance Department. You will report to the CCO and work with teams across the firm.

The role requires 5–8 years in senior compliance or regulatory roles, deep knowledge of the Advisers Act, and a proven ability to design robust controls. We offer a global, matrixed environment with hybrid work options.