Senior Compliance Associate

  • Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • Morningstar.
  • 21 Sep 18

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.

Requirements:

  • 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.