Compliance Director

• Design implement and oversee the compliance program for United States-based regulated entities under the Investment Advisers and Investment Company Acts
• Administer and support local and global controls compliance team activities regarding policies and procedures advisory agreements registrations regulatory filings disclosures training monitoring and testing customer complaints and risk assessments
• Manage relationships with clients and regulators on material compliance matters
• Stay informed of regulatory developments respond to regulatory inquiries and facilitate regulatory examinations
• Provide advice to employees on material compliance and regulatory matters and respond to escalated questions from business units
• Supply guidance on new products/services or material changes to the business model
• Monitor implemented updates by business units due to regulatory or compliance policy changes
• Prepare and present informal and formal training sessions on complex topics
• Oversee and mentor the United States compliance team
• Support the United States compliance team with other tasks initiatives or projects as directed
• Promote a culture of compliance

• Bachelor's degree. Advanced degree and/or relevant certifications a plus
• 8+ years' compliance experience with investment adviser and investment company regulations
• Solid understanding of and experience with applicable advisory services regulatory environment rules and regulations (Advisers Act Investment Company Act ERISA) and implementing policies and procedures for new or changing regulations
• Experience with all facets of a compliance program and successful implementation of courses of action
• Excellent verbal and writing skills that enable messages and decisions to be articulated confidently effectively and diplomatically across all levels of the business
• Provide well-informed guidance backed by strong knowledge and analysis of the issue
• Strong commitment to providing support to the compliance team internal customers (management businesses products etc.) and protecting the company and stakeholders
• Ability to consistently apply and display a reasonable and mature approach in critical thinking by being able to independently assemble evaluate and apply logical reasoning to information
• Strong organizational and project management skills with the flexibility to respond to changing priorities
• Robust interpersonal skills and ability to work effectively in a team environment
• Ability to manage multiple projects and deadlines simultaneously
• High degree of integrity and strong work ethic
• Attention to detail and highly organized
• Strong leadership/management experience
• Experience leading a monitoring and testing function a plus

• Financial Health
  
  • 100% 401k match up to 6% of salary
  • 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-$2000 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 Leave
  • Adoption Assistance
  • Leadership Coaching & Formal Mentorship Opportunities
  • Annual Flex Stipend - $1000 annually to cover personal education & well-being expenses
  • Tuition Reimbursement
• Social Health
  
  • Charitable Matching Gifts program
  • Dollars for Doers volunteer program
  • Paid volunteering days
  • 15+ Employee Resource & Affinity Groups

What We Do

At Morningstar we believe in building great products in-house in a highly collaborative agile environment where we focus on technical excellence the user experience and continuous improvement. Our technologists represent a range of skills and experience levels but they all view their work as a craft and push technology’s boundaries.

Why Work With Us

Imagining big things is in our blood -- it's transformed us from a company with just a few employees in 1984 to a leading independent investment research company with a worldwide presence today. As of April 2020 we acquired Sustainalytics to drive long-term meaningful outcomes for investors in the ESG space. Join us on this exciting journey!

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