Compliance Associate Regulatory Europe

Let’s be #BrilliantTogether

The ISS STOXX Compliance department is looking to add a Compliance Associate to the EU Regulatory team. This individual will report to the Head of Regulatory Compliance Europe and  perform a variety of tasks to ensure that ISS STOXX businesses comply with material EU laws and regulations, primarily focusing on the Benchmark Regulation (BMR), the ESG Rating Regulation (ESGR) and the Green Bonds Regulation,  but also touching other EU financial regulations such as Market Abuse Regulation (MAR), UCITS Directive, Sustainable Finance Disclosure Regulation (SFDR), and others. 

This role will require a strong ability to deep dive into various financial regulations, understand how they impact one or multiple business lines of ISS STOXX and work closely with the same business lines to achieve full and ongoing compliance with all material requirements. Hence, experience in dealing with financial regulations and ability to understand business processes is strongly required. Furthermore, as this role will contribute to the continuous interactions with high level stakeholders, including ISS STOXX top management and regulator (ESMA), the candidate must be reliable and have a high degree of professionalism, strong communication skills and a keen attention to detail. 

RESPONSIBILITIES: 

• Understand and assess the implications of regulatory requirements for the ISS STOXX businesses and support the relevant implementation. 

• Advise the business on material EU regulatory topics, focusing on Benchmark Regulation (BMR), ESG Rating Regulation (ESGR), Market Abuse Regulation (MAR) and other financial market regulations as applicable.  

• Contribute to the ISS STOXX Compliance Management System (CMS) through a variety of activities, such as maintaining legal inventories, contributing to control testing activity and assisting with the mitigation of compliance findings. 

• Draft and review compliance policies, guidelines and procedures. 

• Assist with the interactions with the European Security Market Authority (ESMA) and other relevant competent authorities as needed. 

• Assist with the coordination of the external audits (3rd line of defense). 

• Develop and deliver compliance trainings to employees on material regulatory topics. 

• Contribute in client due diligence requests. 

• Work with the business and other relevant teams to provide accurate reporting to the ISS STOXX management and other stakeholders. 

• Handle other compliance tasks and activity as the need arises. 

REQUIREMENTS: 

• Master’s degree (Law or similar preferred, but not mandatory); 

• At least 3+ years of experience within the financial services industry (experience with providers of financial data or asset managers preferred but not mandatory); 

• Compliance experience a must; 

• 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; 

• Excellent user of Microsoft Office.  

#LI-RH1 #STOXX #MIDSENIOR

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/      

Institutional Shareholder Services (“ISS”) is committed to fostering, cultivating, and preserving a culture of diversity and inclusion. It is our policy to prohibit discrimination or harassment against any applicant or employee on the basis 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.