Morningstar Inc.
Compliance Director
Chicago · Director
Sponsorship not specified$300k-$600kDetected 22 days ago
ComplianceProject ManagementResearchLeadershipCritical ThinkingMentoringWritingOrganizational Skills
About the role
- Morningstar's Compliance team is currently seeking a highly motivated Compliance Director to join our team.
- The primary focus of the role is to oversee the daily administration of the compliance program for the Morningstar Wealth, Retirement, and Research groups located in the United States.
- This position is based in Chicago and reports to Morningstar's Chief Compliance Officer, Americas - Wealth, Retirement, and Research.
Responsibilities
- Design, implement, and oversee the compliance program for United States-based regulated entities under the Investment Advisers and Investment Company Acts
- Administer and support local and global controls compliance team activities regarding policies and procedures, advisory agreements, registrations, regulatory filings, disclosures, training, monitoring and testing, customer complaints, and risk assessments
- Manage relationships with clients and regulators on material compliance matters
- Support the United States compliance team with other tasks, initiatives, or projects, as directed
Requirements
- 8+ years' compliance experience with investment adviser and investment company regulations
- Experience with all facets of a compliance program and successful implementation of courses of action
- Ability to consistently apply and display a reasonable and mature approach in critical thinking by being able to independently assemble, evaluate, and apply logical reasoning to information
- Robust interpersonal skills and ability to work effectively in a team environment
- High degree of integrity and strong work ethic
Nice to have
- Bachelor's degree.
- Advanced degree and/or relevant certifications a plus
Compensation
- At Morningstar we believe people are at their best when they are at their healthiest.
- 100% 401k match up to 6% of salary
- 1x salary + commission
Benefits
- Financial Health
- Stock Ownership Potential
- Company provided life insurance
- Comprehensive health benefits (medical/dental/vision) including potential premium discounts and company-provided HSA contributions (up to $500-$2,000 annually) for specific plans and coverages
- Additional medical Wellness Incentives - up to $300-$600 annual
- Company-provided long- and short-term disability insurance
- Emotional Health
- Trust-Based Time Off
Company info
- Morningstar's Compliance team supports Morningstar's global business entities, primarily focusing on those registered with and governed by regulatory authorities.
- Our compliance professionals help each Morningstar business entity adhere to the rules and regulations of the local regulatory authorities.
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