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SalaryCompliance Officer, Policies & Procedures and Training, Global Controls Morningstar is seeking a Compliance Officer based in London to join the Global Compliance Department, reporting to the Global Head of Policies & Procedures and Training, Global Controls based in New York.
POSITION DESCRIPTION: The candidate will support the Global Head of Policies & Procedures and Training in general functions and primarily be responsible for the Compliance and Legal policy and procedure management process (liaising with P&P owners for updates, maintaining a current inventory, tracking of versions, etc.), and other P&P priorities and updates as appropriate. The position will manage a Compliance Analyst also located in London.
The candidate will be expected to:
- Facilitate the policy and procedure development process, including liaising with stakeholders to implement new and updated policies and procedures, of applicable documents.
- Manage the documents that detail the workings of the global PP&T team.
- Collaborate with the Global Head of Policies & Procedures and Training on developing materials to communicate to employees and to present to the Board.
- Assist in the controls and administration of the Legal and Compliance page of the Morningstar Intranet.
- Provide updates and reports to the Global Chief Compliance Officers, Chief Legal Officer, Regional Compliance Officers and the Global Head of Policies & Procedures and Training as needed.
- Partner with Global Head of Policies & Procedures and Training and the Learning & Development Training group to help in discharging the Compliance Training Program and the reporting of training.
- Support the Global Head of Policies & Procedures and Training on information requests and document productions, as needed.
- Adapt and reprioritize when deadlines change or regulatory issues arise.
REQUIREMENTS:
- Bachelor’s degree required.
- Minimum of 5 years of experience in a compliance and/or regulatory role within a financial services firm.
- Minimum of 2 years of experience in developing and/or implementing corporate policies, procedures and other guidance documents, or executing a compliance policies, procedures, communications and/or training program.
- Ability to manage multiple projects concurrently, in conjunction with Compliance and other groups as needed.
- Understanding of and/or professional experience with a regulated entity, or must have a willingness to learn the regulatory framework.
- Experience interacting with employees at various levels of an organization and across geographies, ideally with experience managing others.
- Experience working with software/technology platforms to host P&Ps is a plus.
- Strong communication skills (verbal and written).
- Strong analytical and investigative skills, and sound judgment.
- A team player with a positive and proactive attitude.
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R07_DBRSRtgsLtdUK DBRS Ratings Limited - UK Legal Entity
Morningstar’s hybrid work environment gives you the opportunity to work remotely and collaborate in-person each week. We’ve found that we’re at our best when we’re purposely together on a regular basis, at least three days each week. A range of other benefits are also available to enhance flexibility as needs change. No matter where you are, you’ll have tools and resources to engage meaningfully with your global colleagues.
