Regional Counsel

The Group:

The Legal and Compliance team consists of lawyers, compliance specialists and other professionals across the globe who bring to the team various kinds of expertise. On the legal side, we have commercial, regulatory, M&A, regulatory compliance, corporate governance, privacy and employment expertise in-house as well as broad-based international legal experience to support the company’s 12,000+ employees working in wholly owned subsidiaries in 32 countries. The Compliance team has expertise in overseeing the compliance processes and practices of regulated credit ratings, investment management, investment research and benchmark administration businesses. The Legal Department coordinates and oversees use of external counsel around the world.

The Role:

A leading global provider of independent investment research, is looking for a specialist in the Global Regulatory Strategy and Advisory Team, Legal. The role will be a legal resource on identifying regulatory issues that may affect North American operations and advising on how to proactively address them, including, in connection with new business line developments. This position directly reports to Senior Regional Counsel, North America, who reports to Global Head of Regulatory Strategy and Advisory, Legal.

Responsibilities:

While not meant to be a comprehensive list of functions, principal day-to-day responsibilities of this role in North America include:

• Advising the business on regulatory strategy and risk, including with respect to regulatory matters associated with strategic initiatives and new business line development.
• Advising Compliance on the management of regulatory compliance responsibilities and consulting with external parties, as appropriate.
• Serving as one of the contacts and negotiators with regulatory bodies.
• Advising on strategy for defending and settling any regulatory action or other related matters involving any of the regulated businesses.
• Assisting with formal examinations or investigations by a regulator, regulatory registrations, and written submissions in response to consultations from regulators, as necessary.
• Advising the Compliance Team in internal investigations, and development and implementation of policies, guidelines and other documents pertaining to regulatory requirements applicable to regulated businesses, as necessary.
• Staying current on regulations and other changes in regulatory requirements that could impact businesses.

Qualifications:

• Law degree and qualified to practice in New York or Illinois, or other relevant US State
• At least 6 years of financial services or securities law experience in a North American jurisdiction
• Structured finance transactional experience, credit rating experience, or other financial services compliance/regulatory experience required
• Experience in dealing with regulators is an advantage
• Investment advisor and asset management regulatory experience is beneficial
• Must be admitted to practice law or eligible for admission to practice as in-house counsel in the jurisdiction where located
• The ability to influence
• Integrity and a high degree of professional ethics
• Excellent judgement and analytical skills
• Strong interpersonal and communication skills, including excellent, clear drafting
• Ability to work efficiently and independently, prioritize workflow, and meet deadlines.

Total Cash Compensation Range

$143,250.00 - 257,850.00 USD Annual

Inclusive of annual base salary and target incentive

Compensation and Benefits

At we believe people are at their best when they are at their healthiest. That’s why we champion your wellness through a wide-range of programs that support all stages of your personal and professional life. Here are some examples of the offerings we provide:

• Financial Health
• 75% 401k match up to 7%
• Stock Ownership Potential
• Company provided life insurance - 1x salary + commission

• Physical Health
• 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
• 6-week Paid Sabbatical Program
• 6-Week Paid Family Caregiving Leave
• Competitive 8-24 Week Paid Parental Bonding Leave
• Adoption Assistance
• Leadership Coaching & Formal Mentorship Opportunities
• Annual Education Stipend
• Tuition Reimbursement

• Social Health
• Charitable Matching Gifts program
• Dollars for Doers volunteer program
• Paid volunteering days
• 15+ Employee Resource & Affinity Groups

’s hybrid work environment gives you the opportunity to work remotely and collaborate in-person each week. While some positions are available as fully remote, we’ve found that we’re at our best when we’re purposely together on a regular basis, typically 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.

How to Apply for a Job

Step 1

When you find a position you're interested in, click the 'Apply' button. Please fill out this form completely, attaching your resume and cover letter in the approved format. Read the job requirements carefully and make sure to attach writing or design samples as required. Applicants must submit their resume and other information through our corporate website to be considered for a job. No phone calls, please.

Step 2

You will receive an email notification to confirm that we've received your application.

Step 3

If you are called in for an interview, a representative will contact you to set up a date, time, and location. Be prepared for a rigorous interview process. To make sure you're a good fit and we're a good fit for you, we'll schedule time for you to meet with multiple staff members at all levels of the company. Expect to return for multiple interviews as part of the process. A representative will contact you with the results of your interview—either with a job offer or to let you know our plans for the position.

Applicants With Disabilities Who Need Accommodation

Is committed to working with and providing reasonable accommodation to individuals with disabilities. If, because of a medical condition or disability, you need a reasonable accommodation for any part of the employment process, please call +1 312 384-3900 or email AskHR@morningstar.com and let us know the nature of your request and your contact information.

Please note:

• We only accept calls from applicants who need accommodation related to a disability. Please, no calls with unrelated questions or requests.
• Please be sure to include the title and location of the open position you’re interested in when you leave a message.

US Applicants: Is an E-Verify program participant.

Learn more:

• 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

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.