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    Compliance Officer - Madrid, España - Morningstar

    Morningstar
    Morningstar Madrid, España

    hace 2 semanas

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    Descripción
    Compliance Officer - Sustainalytics page is loaded Compliance Officer - Sustainalytics Apply locations Amsterdam time type Full time posted on Posted 27 Days Ago job requisition id AP

    The Role:
    Morningstar Sustainlytics is currently seeking a Compliance Officer to join its Amsterdam office. The Compliance Officer will be responsible for supporting the Compliance Program throughout Europe. This is a position based in our offices in Amsterdam.


    POSITION DESCRIPTION:

    Given the current market and regulatory environment, many rules and regulations have been enacted in various forms across the globe.

    The ESG regulatory framework, whilst still under development in certain jurisdictions, is nearing its final form within Europe.

    This position will be part of the Global Compliance Team – with other members working in New York, Madrid, Bucharest and Mumbai.

    The Compliance Officer is responsible for ensuring Morningstar Sustainlytics' policies and procedures are in compliance with various regulatory developments across the European landscape whilst also ensuring staff understand their responsibilities under the rules and regulations.

    In this role, the successful candidate will have the ability to shape the role and have a meaningful impact not only throughout the implementation of the compliance agenda, but also across business' alignment.

    The Compliance Officer will be expected to take on the following roles & responsibilities:

    Support the compliance program to meet the regulatory framework requirements enacted in Europe, and provide ongoing compliance support with alignment towards Morningstar Sustainlytics' policies and procedures;Provide advice and guidance to employees on matters relating to conduct and all compliance areas, including identifying areas of compliance vulnerability and risk, based on findings of compliance reviews;Support 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 Morningstar Sustainlytics to ensure that they are appropriately and consistently evaluated, thoroughly investigated and duly resolved;Support the preparation for, and conduct of, regulatory examinations;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, advice against, and delivery of, compliance related materials, policies, procedures and training materials preparation and roll-out;Assist with the continuous improvement and execution of global compliance programs and functions;Maintain compliance files and records;Implement and maintain policies and procedures required throughout all relevant operational workflows of the global compliance program within Sustainlytics

    REQUIREMENTS:

    5 years of experience in compliance / regulatory control processes developed in Internal Audit, Financial Services, Accounting and/or Legal professions;Experience interacting with, and responding to, inquiries from regulators is preferred;Highly developed interpersonal skills to build and maintain effective internal and external relationships;Advanced communication skills (verbal and written) to report regulatory compliance information;Strong analytical and investigative skills and sound judgment; Understanding/experience of credit rating business processes would be an advantage;Excellent team-work and time management abilities, pro-activeness and resiliency.

    A bachelor's degree is required. A law or advanced degree is preferred but not mandatory.#LI-PI1

    B99_MstarHollandBV Morningstar Holland BV Legal EntityMorningstar'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.

    About UsHow to Apply for a Job at Morningstar Step 1 When you find a position you're interested in, click the 'Apply' button.

    Please fill out this form completely, attaching your resume and cover letter in the approved format. Read the job requirements carefully and make sure to attach writing or design samples as required.

    Applicants must submit their resume and other information through our corporate website to be considered for a job at Morningstar.

    No phone calls, please.
    Step 2 You will receive an email notification to confirm that we've received your application.

    Step 3 If you are called in for an interview, a representative from Morningstar will contact you to set up a date, time, and location.

    Be prepared for a rigorous interview process.

    To make sure you're a good fit for Morningstar and we're a good fit for you, we'll schedule time for you to meet with multiple staff members at all levels of the company.

    Expect to return for multiple interviews as part of the process.

    A representative from Morningstar will contact you with the results of your interview—either with a job offer or to let you know our plans for the position.

    Applicants With Disabilities Who Need Accommodation Morningstar is committed to working with and providing reasonable accommodation to individuals with disabilities.

    If, because of a medical condition or disability, you need a reasonable accommodation for any part of the employment process, please call or email
    and let us know the nature of your request and your contact information.


    Please note:
    We only accept calls from applicants who need accommodation related to a disability. Please, no calls with unrelated questions or requests.

    Please be sure to include the title and location of the open position you're interested in when you leave a message.


    US Applicants:
    Morningstar is an E-Verify program participant. Morningstar is strongly committed to creating and preserving equal opportunity for all employees and applicants.

    We make all employment decisions—including recruitment, hiring, compensation, training, promotion, transfer, discipline, termination, and other personnel matters—without regard to race, color, ancestry, religion, sex, national origin, age, disability, protected veteran status, marital status, sexual orientation, genetic information, citizenship, gender identity and expression, parental status, or other legally protected characteristics or conduct.

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