Morningstar Inc.

Morningstar Inc.

Compliance Director

Chicago, United States of America · Director

Sponsorship not specified$300k-$600kDetected 42 days ago
ComplianceResearch

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 Stay informed of regulatory developments, respond to regulatory inquiries, and facilitate regulatory examinations Provide advice to employees on material compliance and regulatory matters and respond to escalated questions from business units Supply guidance on new products/services or material changes to the business model Monitor implemented updates by business units due to regulatory or compliance policy changes Prepare and present informal and formal training sessions on complex topics Oversee and mentor the United States compliance team Support the United States compliance team with other tasks, initiatives, or projects, as directed Promote a culture of compliance
  • 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 Stay informed of regulatory developments, respond to regulatory inquiries, and facilitate regulatory examinations Provide advice to employees on material compliance and regulatory matters and respond to escalated questions from business units Supply guidance on new products/services or material changes to the business model Monitor implemented updates by business units due to regulatory or compliance policy changes Prepare and present informal and formal training sessions on complex topics Oversee and mentor the United States compliance team Support the United States compliance team with other tasks, initiatives, or projects, as directed

Requirements

  • Bachelor's degree.
  • No matter where you are, you'll have tools and resources to engage meaningfully with your global colleagues.
  • Read the job requirements carefully and make sure to attach writing or design samples as required.
  • A representative from Morningstar will contact you with the results of your interview-either with a job offer or to let you know our plans for the position.

Compensation

  • $300k-$600k

Benefits

  • A range of other benefits are also available to enhance flexibility as needs change.
  • That's why we champion your wellness through a wide range of programs that support all stages of your personal and professional life.
  • Please be sure to include the title and location of the open position you're interested in when you leave a message.

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.
  • Expect to return for multiple interviews as part of the process.

Equal opportunity

  • We only accept calls from applicants who need accommodation related to a disability.
  • Please, no calls with unrelated questions or requests.
  • This Organization Participates in E-Verify (English) This Organization Participates in E-Verify (Spanish) Right to Work (English) Right to Work (Spanish) EEO is the Law Pay Transparency Notice Morningstar is strongly committed to creating and preserving equal opportunity for all employees and applicants.
  • We make all employment decisions-including recruitment, hiring, compensation, training, promotion, transfer, discipline, termination, and other personnel matters-without regard to race, color, ancestry, religion, sex, national origin, age, disability, protected veteran status, marital status, sexual orientation, genetic information, citizenship, gender identity and expression, parental status, or other legally protected characteristics or conduct.

Visa & Work Authorization

  • x, national origin, age, disability, protected veteran status, marital status, sexual orientation, genetic information, citizenship, gender identity and expression, parental status, or other legally protected characteris
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