DBRS Compliance Officer

3 weeks ago

Chicago, United States Morningstar Inc. Full time

The Group: Morningstar DBRS ("MDBRS") is a recognized international rating agency that provides timely and comprehensive credit rating opinions to the world's capital markets. DBRS, Inc. is a wholly owned subsidiary of Morningstar Inc. MDBRS offers in-depth credit analysis of corporate entities, financial institutions, and government issues in North America, Europe, Asia, and Latin America. MDBRS's extensive coverage of structured finance and securitization has solidified its standing as a leading provider of comprehensive, in-depth credit analysis.

The Role: MDBRS is currently seeking a Compliance Officer for its Chicago office. The Compliance Officer - Chicago, will be responsible for supporting the MDBRS Compliance Program in the US. This is a position based in our offices in Chicago, and reports to the Regional Compliance Officer-US ("RCO-US").

Responsibilities:

Given the current market and regulatory environment, many rules and regulations have been enacted globally. These rules and regulations continue to be updated. This role will be part of the Global Compliance team - with other members working in Toronto, Chicago, New York, London, Frankfurt, Madrid, and Mumbai. The Compliance Officer - Chicago is responsible for ensuring MDBRS' policies and procedures are in compliance with the US regulatory scheme and 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. The Compliance Officer will be expected to do the following:

* Support the compliance program to meet the regulatory scheme enacted in the US, and provide ongoing assurance of compliance with MDBRS policies and procedures


* Provide advice and guidance to employees on matters relating to conduct and compliance, 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 MDBRS to ensure that they are appropriately and consistently evaluated, investigated, and resolved


* Support the preparation for, and conduct of, regulatory examinations


* Report on existing and emerging compliance issues and risks to the RCOs


* 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 MDBRS



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


* A bachelor's degree is required. A law, or advanced, degree is preferred but not required.



R06_DBRSInc DBRS, Inc. - US Legal Entity

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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