Chief Compliance Officer

Morningstar Sustainalytics; London; Hybrid; GBP 147,000 - 155,000; Full time

Job summary

An established industry player is seeking a Chief Compliance Officer to lead their compliance efforts in Europe. This pivotal role involves ensuring adherence to regulatory frameworks, managing compliance risks, and fostering relationships with regulatory bodies. The ideal candidate will have extensive experience in compliance management within the financial sector and the ability to drive compliance initiatives. Join a dynamic team committed to investor success and help shape the future of compliance in a hybrid work environment that values flexibility and collaboration.

Qualifications

• 8+ years in compliance or regulatory control in financial services.
• Experience managing compliance teams and projects.
• Strong analytical and investigative skills.

Responsibilities

• Implement compliance programs to meet European regulations.
• Provide guidance on compliance matters and risks.
• Lead regulatory examinations and maintain compliance records.

Skills

Compliance Management

Regulatory Frameworks

Interpersonal Skills

Analytical Skills

Project Management

Communication Skills

Education

Bachelor's Degree

Law Degree

Job description

Join to apply for the Chief Compliance Officer role at Morningstar Sustainalytics

2 weeks ago Be among the first 25 applicants

Join to apply for the Chief Compliance Officer role at Morningstar Sustainalytics

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.

D99_MstarDeutsch Morningstar Deutschland GmbH (Germany) Legal Entity

Seniority level

• Seniority level

  Executive

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal

Referrals increase your chances of interviewing at Morningstar Sustainalytics by 2x

Sign in to set job alerts for “Chief Compliance Officer” roles.

Deputy Chief Investment Officer (CIO) - (Dubai Onsite Job)

London, England, United Kingdom 1 day ago

Investment Guideline Compliance Vice President

London, England, United Kingdom 1 week ago

Office of the General Counsel Senior Manager – Compliance

London, England, United Kingdom 1 day ago

Financial Markets Compliance, Transaction Reporting - Assistant Vice President

London, England, United Kingdom 1 month ago

Compliance Testing Senior Officer - Equities & Spread Products (Senior Vice President)

London, England, United Kingdom 2 weeks ago

Chief Compliance Officer – Corpay Cross-Border Division

London, England, United Kingdom 4 days ago

London, England, United Kingdom 2 days ago

London, England, United Kingdom 1 week ago

London, England, United Kingdom 2 weeks ago

City Of London, England, United Kingdom £147,000.00-£155,000.00 3 weeks ago

London, England, United Kingdom 3 weeks ago

Chief Compliance Officer, MLRO Fidelity Digital Assets, Ltd.

London, England, United Kingdom 2 weeks ago

Chief Compliance Officer | Investment Manager

London, England, United Kingdom 1 month ago

London, England, United Kingdom 2 months ago

London, England, United Kingdom 1 day ago

London, England, United Kingdom 5 days ago

Chief Operating Officer : Global Experiences

City Of Westminster, England, United Kingdom 1 week ago

Chertsey, England, United Kingdom 4 weeks ago

Deputy General Counsel EMEA - Public Markets

Chertsey, England, United Kingdom 4 weeks ago

Chief Operating Officer, Luxury Fashion - Relocate to Dubai

Head of COO Strategy & Portfolio Governance

London, England, United Kingdom 3 hours ago

London, England, United Kingdom 6 days ago

London, England, United Kingdom 3 weeks ago

Global Head of Consumer Compliance and Market Conduct Risk, Global Compliance

London, England, United Kingdom 1 week ago

Global Head of Consumer Compliance and Market Conduct Risk

London, England, United Kingdom 1 week ago

Chief Operating Officer, NATIONAL CHILDRENS BUREAU

Hackney, England, United Kingdom 23 hours ago

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.