Chief Compliance Officer

Chief Compliance Officer, Sustainalytics

About Morningstar:  Morningstar is a leading global provider of independent investment insights, serving both individual and institutional investors across public and private markets. Our offerings include a wide range of data, research, and investment management services, with $300+ billion in assets under management. Operating in 32 countries, Morningstar supports financial advisors, asset managers, retirement plan providers, and more with comprehensive investment solutions.

The Role:  This role sits within Morningstar Sustainalytics. As Chief Compliance Officer, you will be responsible for the implementation of the Sustainalytics Global Compliance Program. This is a position based in our offices in London or Frankfurt and reports to the Global Chief Compliance Officer (“GCCO”) Ratings and Benchmarks.

Given the current market and regulatory environment, many rules and regulations have been enacted around the globe and these continue to be updated. This role will be part of the Global Compliance team – with other members working in Toronto, New York, Bucharest, Madrid and Mumbai. 

As Chief Compliance Officer you will be responsible for ensuring the firm’s policies and procedures ensure compliance with the European regulatory scheme and ensuring staff understand their responsibilities under the rules and regulations.

You’ll have the ability to shape the role and have a meaningful impact. 

What You’ll Do

• Responsible for the compliance program to meet the regulatory frameworks enacted in Europe (including UK), and provide ongoing assurance of compliance with Sustainalytics policies and procedures
• Provide advice and guidance to management on matters relating to conduct and compliance, including identifying areas of compliance vulnerability and risk, based on findings of compliance reviews
• Lead on the compliance component on the development of new business processes, and on changes to current business processes arising from changes to European regulations
• Enhance standard procedures for the intake (including for anonymous reporting and complaints from third parties), investigation, escalation and reporting of potential compliance related incidents relating to Sustainalytics to ensure that they are appropriately and consistently evaluated, investigated and resolved
• Foster, and maintain, a good working relationship with ESMA and FCA, compliance colleagues, members of other internal control functions and business management
• Lead the preparation for, and conduct of, regulatory examinations
• Draft any compliance reports required by European regulatory authorities
• Report on existing and emerging compliance issues and risks to the GCCO
• Maintain records of any violation reports received, including details of any actions taken
• Contribute to the ongoing development of the Compliance team by sharing best practices, knowledge, expertise and lessons learned on a regular basis
• Assist with the development, maintenance and delivery of compliance materials and training
• Assist with the continuous improvement of global compliance programs
• Maintain compliance files and records
• Implement and maintain policies and procedures for the general operation of the global compliance program within Sustainalytics.

Who You Are

• 8 years of experience in compliance / regulatory control processes developed in Internal Audit in the Financial Services, Accounting or Legal professions
• Experience in leading and managing complex compliance projects
• Experience in designing and implementing compliance / regulatory policies and procedures
• Experience interacting with and responding to regulatory inquiries
• Experience in providing advice to senior managers and board of directors
• Highly developed interpersonal skills to build and maintain effective internal and external relationships
• Experience managing compliance teams
• Advanced communication skills (verbal and written) to report regulatory compliance information
• Strong analytical and investigative skills and sound judgment
• Understanding/experience of the credit rating business would be an advantage
• A bachelor’s degree is required.  A law degree is a plus

Ready to Shape the Future? At Morningstar, every hire we make strengthens our mission to empower investor success. Apply now and help shape the future of investing with us.

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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