The Team: The Compliance team supports Morningstar's global business entities, with focus on those registered with and governed by a regulatory body. Our compliance professionals have an integral role in Morningstar's program to mitigate compliance and regulatory risk. Morningstar and its subsidiaries offer a broad range of services including investment advisory services.
The Role: Morningstar's Compliance team is seeking a Senior Compliance Associate. This position will be based out of Morningstar's London office and reports to the Chief Compliance Officer – EMEA who is also based out of our London office.
Assisting the Chief Compliance Officer – EMEA by performing certain activities related to the compliance programme, including, but not limited to:
Review and update compliance, AML/KYC policies and procedures.
Review marketing materials, press releases, client presentations and websites to ensure compliance with regulatory requirements.
Assist in the creation and maintenance of files/records required to be compliant with regulatory requirements.
Perform the monitoring plan tasks as assigned by the Chief Compliance Officer.
Maintain and update the compliance calendar of all regulatory filings and reporting.
Assist in gathering of internal information in response to regulatory requests as requested by the Chief Compliance Officer.
Participate in business projects and provide relevant and accurate compliance input.
Assist in other compliance-related projects as assigned by the Chief Compliance Officer.
Assist in interpreting regulatory developments and their impact on systems and controls
Administer the Code of Ethics compliance programme, including the following:
Maintain the electronic personal trading system daily
Respond to employee questions;
Monitor gifts and entertainment activities; and
Distribute quarterly and annual reports to employees as well as various certifications.
Degree in Law, Business, Finance, Accounting or related field.
Minimum of four (4) years' experience as a compliance professional in the asset management industry.
Knowledgeable of the UK/EMEA regulatory environment and requirements. An understanding of South Africa and Dubai would also be highly advantageous.
Be detail-oriented, motivated and an independent thinker able to interact with employees of all levels.
Strong communication skills with the ability to communicate information in an understandable way.
Ability to be highly sensitive to maintaining confidentiality.
High level of proficiency in Microsoft Office applications.