Institutional Shareholder Services, Inc.

  • Compliance Specialist

    Job Locations DE-Munich
    Job ID
    2018-1681
    Category
    Legal
  • Overview

    ISS’ Compliance department is looking to add a junior level Compliance Specialist 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, the Compliance Officer and members of the Sales, Marketing, and Information Technology (IT) groups. The candidate will work out of ISS’ Munich, Germany office and have the opportunity to periodically travel to ISS’ headquarters in Rockville, MD, U.S.A. There is also a potential to travel to ISS’ other global offices.

    Responsibilities

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

    • Assist the Compliance department with internal compliance reviews, investigations, and reporting of findings.
    • Assist the Compliance department in reviewing policies, procedures, and practices to ensure the firm is in compliance with regulatory requirements.
    • 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.
    • Assist the team with drafting communications regarding compliance policies to be sent to employees across the organization.
    • 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;
    • 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 in delivering employee training 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. Experience with Adobe Captivate a plus.

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