Compliance Analyst

The Team:

Morningstar’s Compliance team supports Morningstar’s global business entities, primarily focusing on those registered with and governed by regulatory authorities. Morningstar compliance professionals help each Morningstar business entity adhere to the rules and regulations of the local regulatory authorities.

The Role:

Morningstar’s UK Wealth, Retirement and Research Compliance team is hiring two Compliance Analysts to support oversight of the activities carried out by Morningstar’s regulated wealth platform, pensions administrator and investment manager. The roles will report into the UK Compliance Manager.

The roles are office based, located at Morningstar’s London office.

Key Responsibilities:

• Supporting initial and ongoing client due diligence processes
• Maintenance of client lists, associated screening protocols and related data
• Coordinating and administering the breaches and incidents register
• Review and approval of financial promotions and marketing communications
• Maintenance of regulatory reporting schedule
• Maintenance of regulatory correspondence register
• Maintenance of UK compliance policies
• Drafting and maintaining compliance procedures
• Supporting senior managers and certification regime arrangements
• Supporting client complaints processes
• Engagement with Morningstar central compliance controls team
• Administering employee conflicts of interest system
• Supporting regulatory training and awareness arrangements
• Preparing compliance management information for presentation
• Ad-hoc administrative support to the senior members of the UK Compliance team

Requirements:

• Bachelor’s degree, awarded at minimum of 2:2
• Preference for a degree with finance and/or business focus
• Desire to forge a career in financial services compliance
• Understanding of UK financial services regulatory framework
• Excellent verbal and writing skills that enable messages and decisions to be articulated confidently, effectively and diplomatically
• Strong interpersonal skills and ability to work effectively in a team environment
• High degree of integrity and strong work ethic
• Attention to detail, highly organized, and an ability to interact and engage with employees at all levels

Morningstar is an equal opportunity employer.

Morningstar's hybrid work environment gives you the opportunity to collaborate in-person each week as we've found that we're at our best when we're purposely together on a regular basis. In most of our locations, our hybrid work model is four days in-office each week. A range of other benefits are also available to enhance flexibility as needs change. No matter where you are, you'll have tools and resources to engage meaningfully with your global colleagues.

U30_MstarAssocEur Morningstar Investment Management Europe Ltd. Legal Entity