Monitoring & Testing team is embedded in the Global Controls team, within the Compliance department
The Role: Morningstar is currently seeking a Compliance Manager to manage monitoring & testing program for Wealth & Research business. Additionally, the Compliance Manager will carry out key monitoring activities within the scope of the general monitoring program. The successful candidate will have the ability to shape the role and have a meaningful impact on the entire Morningstar organization.
To assist in the responsibility, the Compliance Manager will interact with key stakeholders from Morningstar in various offices. This position is based in Madrid, Spain and reports to the Head of Monitoring & Testing in the Global Controls department.
Responsibilities Manage the general monitoring program from end-to-end:
Implement a robust Wealth & Research Monitoring & Testing programManage general monitoring activities in-scope and ensure timely and effective execution of each of the activities.Ensure proper documentation of monitoring results for all monitoring activities in-scope.Communicate results within Compliance and with key business stakeholders.Ensure completion of any follow-ups resulting from the general monitoring activities.Identify opportunities for improvement and automation in order to execute the program more effectively and efficiently.Prepare Monitoring & Testing reports to be shared with Senior ManagementRequirements A minimum of 10 years of compliance related experience with a regulated entity and a minimum of 5 years of compliance experience in the financial service industry.Good knowledge of financial services regulations. Prior experience and specialized knowledge in products and process pertaining to the Wealth & Research business is a plus.Experience in managing and executing a comprehensive compliance monitoring or testing program.Strong systems background related to email monitoring/surveillance platforms and other general monitoring tools.Experience drafting procedures and internal communications.Experience performing compliance reviews or testing, developing findings and recommendations, and independently manage compliance-related projects.Experience managing and providing effective compliance training and developing training materials within prescribed frameworks.Strong analytical and investigative skills.Good critical thinking and sound judgement skills.Strong interpersonal skills, with the ability to effectively influence and collaborate with diverse teams across multiple zonesHigh degree of professionalism and integrity with demonstrated ability to handle confidential issues in a professional manner.Strong organizational and time management skills with the flexibility and willingness to respond to changing priorities.High level of attention to detail and problem-solving skills.A bachelor's degree is required.A degree in finance, accounting, or economics and an advanced degree is preferred. Compliance related professional certifications such as the CFE is preferred.#LI-PI1
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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