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- Tasks: Lead compliance initiatives and ensure adherence to European regulations.
- Company: Morningstar is a global leader in investment insights, managing over $300 billion in assets.
- Benefits: Enjoy a hybrid work environment with flexibility and various corporate perks.
- Why this job: Shape the future of investing while making a meaningful impact in compliance.
- Qualifications: 8 years in compliance, strong leadership skills, and a relevant degree required.
- Other info: Join a diverse global team and enhance your career in a dynamic environment.
The predicted salary is between 120000 - 160000 ÂŁ per year.
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Chief Compliance Officer, Sustainalytics
About Morningstar: Morningstar is a leading global provider of independent investment insights, serving both individual and institutional investors across public and private markets. Our offerings include a wide range of data, research, and investment management services, with $300+ billion in assets under management. Operating in 32 countries, Morningstar supports financial advisors, asset managers, retirement plan providers, and more with comprehensive investment solutions. The Role: This role sits within Morningstar Sustainalytics. As Chief Compliance Officer, you will be responsible for the implementation of the Sustainalytics Global Compliance Program. This is a position based in our offices in London or Frankfurt and reports to the Global Chief Compliance Officer (“GCCO”) Ratings and Benchmarks. Given the current market and regulatory environment, many rules and regulations have been enacted around the globe and these continue to be updated. This role will be part of the Global Compliance team – with other members working in Toronto, New York, Bucharest, Madrid and Mumbai. As Chief Compliance Officer you will be responsible for ensuring the firm’s policies and procedures ensure compliance with the European regulatory scheme and ensuring staff understand their responsibilities under the rules and regulations. You’ll have the ability to shape the role and have a meaningful impact. What You’ll Do
- Responsible for the compliance program to meet the regulatory frameworks enacted in Europe (including UK), and provide ongoing assurance of compliance with Sustainalytics policies and procedures
- Provide advice and guidance to management on matters relating to conduct and compliance, including identifying areas of compliance vulnerability and risk, based on findings of compliance reviews
- Lead on the compliance component on the development of new business processes, and on changes to current business processes arising from changes to European regulations
- Enhance standard procedures for the intake (including for anonymous reporting and complaints from third parties), investigation, escalation and reporting of potential compliance related incidents relating to Sustainalytics to ensure that they are appropriately and consistently evaluated, investigated and resolved
- Foster, and maintain, a good working relationship with ESMA and FCA, compliance colleagues, members of other internal control functions and business management
- Lead the preparation for, and conduct of, regulatory examinations
- Draft any compliance reports required by European regulatory authorities
- Report on existing and emerging compliance issues and risks to the GCCO
- Maintain records of any violation reports received, including details of any actions taken
- Contribute to the ongoing development of the Compliance team by sharing best practices, knowledge, expertise and lessons learned on a regular basis
- Assist with the development, maintenance and delivery of compliance materials and training
- Assist with the continuous improvement of global compliance programs
- Maintain compliance files and records
- Implement and maintain policies and procedures for the general operation of the global compliance program within Sustainalytics.
Who You Are
- 8 years of experience in compliance / regulatory control processes developed in Internal Audit in the Financial Services, Accounting or Legal professions
- Experience in leading and managing complex compliance projects
- Experience in designing and implementing compliance / regulatory policies and procedures
- Experience interacting with and responding to regulatory inquiries
- Experience in providing advice to senior managers and board of directors
- Highly developed interpersonal skills to build and maintain effective internal and external relationships
- Experience managing compliance teams
- Advanced communication skills (verbal and written) to report regulatory compliance information
- Strong analytical and investigative skills and sound judgment
- Understanding/experience of the credit rating business would be an advantage
- A bachelor’s degree is required. A law degree is a plus
Ready to Shape the Future? At Morningstar, every hire we make strengthens our mission to empower investor success. Apply now and help shape the future of investing with us. 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. D99_MstarDeutsch Morningstar Deutschland GmbH (Germany) Legal Entity
Seniority level
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Seniority level
Executive
Employment type
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Employment type
Full-time
Job function
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Job function
Legal
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Chief Compliance Officer (London) employer: Morningstar
Contact Detail:
Morningstar Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Chief Compliance Officer (London)
✨Tip Number 1
Network with professionals in the compliance field, especially those who have experience with European regulations. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends in compliance.
✨Tip Number 2
Familiarise yourself with the specific compliance challenges faced by Sustainalytics and similar organisations. Understanding their unique needs will help you demonstrate your value during interviews and discussions.
✨Tip Number 3
Prepare to discuss your previous experiences in managing compliance projects and how they relate to the role at Morningstar. Be ready to provide examples of how you've successfully navigated complex regulatory environments.
✨Tip Number 4
Stay updated on recent changes in European compliance regulations and be prepared to discuss how these might impact Sustainalytics. Showing that you're proactive about industry knowledge can set you apart from other candidates.
We think you need these skills to ace Chief Compliance Officer (London)
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance and regulatory control processes. Emphasise your leadership roles and any specific projects that align with the responsibilities of a Chief Compliance Officer.
Craft a Compelling Cover Letter: In your cover letter, express your passion for compliance and how your background aligns with Morningstar's mission. Mention specific experiences that demonstrate your ability to manage compliance teams and navigate regulatory frameworks.
Highlight Key Skills: Clearly outline your advanced communication skills, analytical abilities, and experience in managing complex compliance projects. Use examples to illustrate how you've successfully interacted with regulatory bodies and provided guidance to senior management.
Showcase Continuous Improvement: Discuss your commitment to continuous improvement in compliance programs. Share examples of how you've contributed to the development of compliance materials or training, and how you stay updated on emerging compliance issues and regulations.
How to prepare for a job interview at Morningstar
✨Understand the Regulatory Landscape
Familiarise yourself with the current European regulatory frameworks, especially those relevant to compliance in financial services. Be prepared to discuss how these regulations impact the role and how you would ensure compliance within the organisation.
✨Showcase Your Leadership Experience
As a Chief Compliance Officer, you'll need to demonstrate your ability to lead and manage compliance teams effectively. Prepare examples of past experiences where you've successfully led compliance projects or initiatives, highlighting your leadership style and outcomes.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills and judgement in compliance-related situations. Think about potential compliance vulnerabilities and how you would address them, as well as how you would handle regulatory inquiries.
✨Emphasise Communication Skills
Strong communication skills are crucial for this role. Be ready to discuss how you have effectively communicated compliance issues to senior management and other stakeholders. Highlight your ability to simplify complex regulatory information for diverse audiences.
