Morningstar Inc.
Compliance Director
Chicago · Director
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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
- 100% 401k match up to 6% of salary
- 1x salary + commission
- Additional medical Wellness Incentives - up to $300-$600 annual
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
- Company-provided long- and short-term disability insurance
- Emotional Health
- Trust-Based Time Off
- 6-Week Paid Family Caregiving Leave
- Competitive 8-24 Week Paid Parental Leave
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.
This listing is sourced directly from Morningstar Inc.'s careers page and normalized into a canonical job model.