Compliance Manager
Compliance Manager
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Job Description
The Group:
Morningstar is currently seeking a Compliance Manager for its Toronto office. The Compliance Manager will be responsible for supporting the Compliance Programs for both Morningstars Index business and the Sustainalytics ESG business.
This is a position based in our office in Toronto. We are operating in a hybrid environment where we are inoffice 3 days/week.
The Role:
Given the current market and regulatory environment many rules and regulations have been enacted globally. These rules and regulations continue to be updated. This role will be part of the Sustainalytics Compliance team (with members in Madrid Bucharest and Amsterdam) but will also help with the Index Compliance team (with Chief Compliance Officer in London). The candidate will be responsible for helping the Sustainalytics Compliance team and the Index Compliance team ensure that the policies and procedures are in compliance with regulatory schemes and 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. The Compliance Manager will be expected to do the following:
- Support the compliance program to meet the relevant regulatory requirements
- Provide advice and guidance to employees on matters relating to conduct and compliance
- Support the preparation for and conduct of regulatory examinations or inquiries
- Prepare and file any compliance reports required by regulators
- Support standard procedures for the intake investigation and reporting of potential compliance related incidents to ensure that they are appropriately and consistently evaluated and resolved
- Report on existing and emerging compliance issues vulnerabilities and risks to the CCO
- Maintain records of any incidents/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
- Assist with implementing and maintaining policies and procedures for the general operation of the global compliance program
- Foster and maintain a good working relationship with relevant regulators (including ESMA and BaFin) as well as compliance colleagues members of other internal control functions and business management
Qualifications:
- 35 years of experience in compliance / regulatory control processes developed in Compliance Internal Audit or Legal within Financial Services
- 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 credit rating or index or ESG businesses would be an advantage
- A bachelors degree is required
Morningstars hybrid work environment gives you the opportunity to work remotely and collaborate inperson each week. Weve found that were at our best when were 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 youll have tools and resources to engage meaningfully with your global colleagues.
D99MstarDeutsch Morningstar Deutschland GmbH (Germany) Legal EntityRequired Experience:
Manager
Employment Type
Full-Time
