Senior Compliance Associate
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.
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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