The Role: Morningstar Sustainalytics is currently seeking a Senior Compliance Officer to join its Bucharest/Madrid/London/Frankfurt/Toronto office. The Senior Compliance Officer will be responsible for supporting the Compliance Program throughout Europe. This is a position that may be based in our offices in either Bucharest, Toronto or Frankfurt and will report to Sustainalytics Chief Compliance Officer.

POSITION DESCRIPTION:

Given the current market and regulatory environment, many rules and regulations have been enacted in various forms across the globe. The ESG regulatory framework, whilst still under development in certain jurisdictions, is nearing its final form within Europe. This position will be part of the Global Compliance Team – with other members working in New York, Amsterdam, Madrid, Bucharest, Frankfurt and Mumbai. The Senior Compliance Officer is responsible for ensuring Morningstar Sustainalytics’ policies and procedures are in compliance with various regulatory developments across the European landscape whilst also ensuring staff understand their responsibilities under the rules and regulations.

In this role, the successful candidate will have the ability to shape the role and have a meaningful impact not only throughout the implementation of the compliance agenda, but also across business’ alignment. The Senior Compliance Officer will be expected to take on the following

ROLES & RESPONSIBILITIES:

Project manager of compliance related programs. Lead in the continuous improvement and execution of global compliance programs and functionsSupport the compliance program to meet the regulatory framework requirements enacted in Europe, and provide ongoing compliance support with alignment towards Morningstar Sustainalytics’ policies and procedures;Provide advice and guidance to employees on matters relating to conduct and all compliance areas, including identifying areas of compliance vulnerability and risk, based on findings of compliance reviews;Support 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 Morningstar Sustainlytics to ensure that they are appropriately and consistently evaluated, thoroughly investigated and duly resolved;Lead  the preparation for, and conduct of, regulatory examinations;Report on existing and emerging compliance issues and risks to the CCO/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, advice against, and delivery of, compliance related materials, policies, procedures and training materials preparation and roll-out;Maintain compliance files and records;Implement and maintain policies and procedures required throughout all relevant operational workflows of the global compliance program within Sustainlytics.

REQUIREMENTS:

5-7 years of relevant experience in legal / compliance / project management/ regulatory control processes developed in Internal Audit, Financial Services, Accounting and/or Legal professions;Experience interacting with, and responding to, inquiries from regulators is preferred;Highly developed interpersonal skills to build and maintain effective internal and external relationships;Advanced communication skills (verbal and written) to report regulatory compliance information;Strong analytical and investigative skills and sound judgment;Understanding/experience of ESG/credit rating business processes would be an advantage;Excellent team-work and time management abilities, pro-activeness and resiliency.A bachelor’s degree is required. A law or advanced degree is preferred but not mandatory.Recognised industry certifications (e.g. CRCM, CCEP, ICA, CAMS, PMP) are welcomed, but not mandatory

 

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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.