Senior Compliance Associate

London (Greater)
04 Oct 2018
03 Nov 2018
Experience Level
Director, Executive, Management, Officer
Contract Type
Full time, Permanent

The Team:  The Compliance team supports Morningstar’s global business entities, with focus on those registered with and governed by a regulatory body. Our compliance professionals have an integral role in Morningstar’s program to mitigate compliance and regulatory risk. Morningstar and its subsidiaries offer a broad range of services including investment advisory services.

The Role:  Morningstar’s Compliance team is seeking a Senior Compliance Associate.  This position will be based out of Morningstar’s London office and reports to the Chief Compliance Officer – EMEA who is also based out of our London office.

Key Responsibilities:
Assisting the Chief Compliance Officer – EMEA by performing certain activities related to the compliance programme, including, but not limited to:
•    Review marketing materials, press releases, client presentations and websites to ensure compliance with regulatory requirements.
•    Assist in the creation and maintenance of files/records required to be compliant with regulatory requirements.
•    Perform the monitoring plan tasks as assigned by the Chief Compliance Officer.
•    Maintain and update the compliance calendar of all regulatory filings and reporting.
•    Assist in gathering of internal information in response to regulatory requests as requested by the Chief Compliance Officer.
•    Participate in business projects and provide relevant and accurate compliance input.
•    Assist in other compliance-related projects as assigned by the Chief Compliance Officer.
•    Assist in interpreting regulatory developments and their impact on systems and controls 
•    Administer the Code of Ethics compliance programme, including the following:
•    Maintain the electronic personal trading system daily
•    Respond to employee questions;
•    Monitor gifts and entertainment activities; and
•    Distribute quarterly and annual reports to employees as well as various certifications.

•    Degree in Law, Business, Finance, Accounting or related field.
•    Minimum of four (4) years’ experience as a compliance professional in the asset management industry.
•    Knowledgeable of the UK/EU regulatory environment and requirements.
•    Be detail-oriented, motivated and an independent thinker able to interact with employees of all levels.
•    Strong communication skills with the ability to communicate information in an understandable way. 
•    Ability to be highly sensitive to maintaining confidentiality.
•    High level of proficiency in Microsoft Office applications.

Morningstar is an equal opportunity employer.


U30_MstarAssocEur Morningstar Investment Management Europe Ltd. Legal Entity    

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