Compliance Officer, Conflicts of Interest
Compliance Officer, Conflicts of Interest
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Job Description
The Team
Morningstars Conflicts of Interest team is part of the Global Control function within the Compliance department and an integral part of the Compliance program that addresses how the firms manages conflicts of interests. The team has global scope with members based in Europe Canada and India.
The Role
Morningstar is seeking a dedicated Compliance Officer based in Madrid. The successful candidate will be responsible for the oversight of conflicts of interest controls with a focus on Review and Reporting activities.
Responsibilities
Administer thefirms Conflicts Management Systemand take responsibility for monitoring compliance with the firms conflicts of interest policies including securities trading gifts & entertainment andmanaging escalation with our stakeholders as required.
Monitor and managesystem alertsreview ofpotential violationsand conductinvestigations and follow-up actions.
Manage the attestation process for employees including the preparation monitoring of completion and review.
Coordinate the review and escalation of outside business activities.
Create reports forSenior Management on a monthly quarterly and annual basis.
Act as Team Leadin respect ofreview andreporting activitieswiththeir manager.
Ensure proper documentation and record-keeping of associated controls.
Collaboratewith a global teamon multiple projects.
Interact with employees at various levels of an organization on sensitive matters.
Requirements
A minimum of 5yearsexperiencein compliance and/or regulatory analysis developed in Financial Services Accounting or Legal professions.
A minimum of 2 years experience with Control Room functions including preclearance of employeetradesand management and use of restricted lists.
Bachelors degreein Finance Accounting Commerce orBusinessAdministrationis required.
Completion of a professionalexamination or post graduate degree/post graduate diplomais a plus.
Proficiency with Excel required(advanced level).
Abilityworkunder tight deadlines andmanage multiple projects concurrently in conjunction with the Compliance team.
Highly developedcommunication andinterpersonal skillswith the ability to develop and maintaineffectiverelationships with diverse teams and across multiple time zones.
Excellent analytical and problem-solving skills.
Excellent command over the English language essential (written and verbal).
Morningstars hybrid work environment gives you the opportunity to work remotely and collaborate in-person 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.
302MstarEurServSL Morningstar Europe Services S.L. Legal EntityRequired Experience:
Unclear Seniority
Employment Type
Full-Time
