Compliance Officer, Conflicts of Interest

The Team
Morningstar’s 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 the firm’s Conflicts Management System and take responsibility for monitoring compliance with the firm’s conflicts of interest policies, including securities trading, gifts & entertainment and managing escalation with our stakeholders as required.

• Monitor and manage system alerts, review of potential violations, and conduct investigations 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 for Senior Management on a monthly, quarterly and annual basis.

• Act as Team Lead in respect of review and reporting activities with their manager.

• Ensure proper documentation and record-keeping of associated controls.

• Collaborate with a global team on multiple projects.

• Interact with employees at various levels of an organization on sensitive matters.

Requirements

• A minimum of 5 years’ experience in 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 employee trades and management and use of restricted lists.

• Bachelor’s degree in Finance, Accounting, Commerce or Business Administration is required.

• Completion of a professional examination or post graduate degree/post graduate diploma is a plus.

• Proficiency with Excel required (advanced level).

• Ability work under tight deadlines and manage multiple projects concurrently in conjunction with the Compliance team.

• Highly developed communication and interpersonal skills with the ability to develop and maintain effective relationships with diverse teams and across multiple time zones.

• Excellent analytical and problem-solving skills.

• Excellent command over the English language essential (written and verbal).

Morningstar’s hybrid work environment gives you the opportunity to work remotely and collaborate in-person each week. We’ve found that we’re at our best when we’re 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, you’ll have tools and resources to engage meaningfully with your global colleagues.