Senior Compliance Associate
- London, England, United Kingdom
- Permanent, Full time
- 21 Sep 18
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.
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.