Compliance Associate

About the role:

Morningstar Sustainalytics requires a detail driven and passionate Compliance Associate, to assist with maintaining and executing an effective compliance program for the business globally. This role will have a primary focus on supporting the business team with implementing and monitoring the company's compliance program and managing regulatory risks during a period of growth as the business expands its activities.

As a Compliance Associate, you’ll be responsible for monitoring legal and regulatory changes in the various jurisdictions where we operate, performing Know Your Customer screenings, supporting the sales teams in answering compliance related questions included in RfPs, clients’ inquiries or vendor due diligence questionnaires, and work with various teams to monitor compliance with the applicable policies and regulatory alignment in practice. You will work closely with the legal and sales teams, and will liaise with different departments across the company to collect relevant information for monitoring compliance and for answering clients’ compliance related inquiries.

We are looking for a “hands on” attitude, someone who is willing to perform a variety of activities and often interacting with personnel from different teams from our various global offices. International travel may take place. This position will report to the Chief Compliance Officer.

Job responsibilities:

• Work with other Morningstar entities in implementing, maintaining, and monitoring the compliance program;
• Ensuring employees are in compliance with the applicable regulations and that policies and procedures are being followed;
• Manage relationships with colleagues and clients on compliance issues impacting the business;.
• Serve as the main point of contact for the sales team on all KYC and DDQ processes, as well as for the compliance related questions in RfPs;
• Review clients’ compliance relevant requirements;
• Support awareness campaigns for employees as part of the overall effort to foster a firm-wide culture of compliance;.
• Monitor and support the implementation of regulatory changes impacting the company's businesses and operations;
• Perform compliance monitoring and risk assessment activities along with risk and compliance reviews in order to ensure compliance with implemented policies and procedures.;
• Assist the Chief Compliance Officer and, the Legal & Compliance teams and other risk, legal and compliance colleagues on in other work streams or projects, as assigned.

Qualifications:

• Bachelor’s Degree in Law, Finance, Accounting, Economics, or a related field.
• The ability to independently assess and apply logical reasoning to complex situations. You can evaluate and analyze information to make sound judgments and develop effective solutions.
• Excellent business English and the ability to confidently advise, guide, and negotiate with stakeholders. You possess strong interpersonal skills to build rapport and work effectively in a diverse, international team.
• A resourceful, flexible, and proactive mindset. You thrive on working independently and taking initiative in a multi-jurisdictional and multicultural environment.
• A high degree of professionalism, integrity, and attention to detail. You can handle confidential issues with a mature, discreet, and measured approach.
• A customer-focused approach and a deep understanding of complex, compliance-related requirements.

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.

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