Compliance Associate Compliance Associate …

in Chicago, IL, United States
Permanent, Full time
Be the first to apply
in Chicago, IL, United States
Permanent, Full time
Be the first to apply
Compliance Associate
Compliance Associate Chicago/en-US/Americas/job/Chicago/Compliance-Associate_REQ-015120-1/apply

The Team: Morningstars Legal & Compliance team supports Morningstars global business entities, primarily focusing on those registered with and governed by regulatory authorities. Our legal experts work to protect our intellectual property and make sure we continue to conduct business with uncompromising ethics. Our compliance professionals help each Morningstar business entity adhere to the rules and regulations of the local regulatory authorities.

The Role: Morningstars Compliance team is currently seeking a highly motivated Compliance Associate to join our compliance team. The primary focus of the role is to assist in the daily administration of the compliance program. This position is based in Chicago and reports to the Compliance Manager of Morningstar, Inc.

Key Responsibilities:

  • Assist with Code of Ethics compliance monitoring for Morningstars broker dealer, registered investment advisers, and other monitored groups, as needed
  • Serve as first point of contact for ad hoc questions from business units
  • Assist with compliance reviews of new business initiatives
  • Create compliance-related training materials
  • Conduct email reviews
  • Assist in review of marketing materials and RFPs
  • Assist in the administration of Advisers Act Rule 206(4)-7 and compliance programs
  • Assist in periodic testing of compliance policies and procedures pursuant to Rule 206(4)-7 of the Investment Advisers Act
  • Assist in the annual review and amendments to Form ADV
  • Perform other tasks/projects as assigned


  • Bachelor's degree in Business, Finance, Accounting or related field and or relevant experience preferred
  • A minimum of 1-3 years compliance experience working within the financial services industry
  • Experience of compliance monitoring and/or regulatory review of advertising/marketing material highly desirable
  • Excellent verbal and writing skills that enable messages and decisions to be articulated confidently, effectively and diplomatically
  • Strong interpersonal skills and ability to work effectively in a team environment
  • Ability to manage multiple projects and deadlines simultaneously
  • High degree of integrity and strong work ethic
  • Attention to detail, highly organized, and an ability to interact and engage with employees at all levels
001_MstarInc Morningstar Inc. Legal EntityPosted 2 Days AgoFull timeREQ-015120

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Step 1

When you find a position you're interested in, click the 'Apply' button. Please fill out this form completely, attaching your resume and cover letter in the approved format. Read the job requirements carefully and make sure to attach writing or design samples as required. Applicants must submit their resume and other information through our corporate website to be considered for a job at Morningstar. No phone calls, please.

Step 2

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Step 3

If you are called in for an interview, a representative from Morningstar will contact you to set up a date, time, and location. Be prepared for a rigorous interview process. To make sure you're a good fit for Morningstar and we're a good fit for you, we'll schedule time for you to meet with multiple staff members at all levels of the company. Expect to return for multiple interviews as part of the process. A representative from Morningstar will contact you with the results of your intervieweither with a job offer or to let you know our plans for the position.

Applicants With Disabilities Who Need Accommodation

Morningstar is committed to working with and providing reasonable accommodation to individuals with disabilities. If, because of a medical condition or disability, you need a reasonable accommodation for any part of the employment process, please call +1 312 384-3900 or email and let us know the nature of your request and your contact information.

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Morningstar is strongly committed to creating and preserving equal opportunity for all employees and applicants. We make all employment decisionsincluding recruitment, hiring, compensation, training, promotion, transfer, discipline, termination, and other personnel matterswithout regard to race, color, ancestry, religion, sex, national origin, age, disability, protected veteran status, marital status, sexual orientation, genetic information, citizenship, gender identity and expression, parental status, or other legally protected characteristics or conduct.