Compliance Officer

4 weeks ago

Chicago, United States Morningstar Inc. Full time

The Group: Morningstar's Compliance team supports Morningstar's global business entities, primarily focusing on those registered with and governed by regulatory authorities. Our compliance professionals help each Morningstar business entity adhere to the rules and regulations of the local regulatory authorities.

The Role: Morningstar's Compliance team is currently seeking a highly motivated Compliance Officer to join our team. The focus of the role is to assist in the daily administration of the compliance program for Morningstar Retirement and Morningstar Funds Trust, an open-end management investment company. This position is based in Chicago, reports to Morningstar Investment Management's Chief Compliance Officer, and will require close collaboration with Morningstar Funds Trust's Chief Compliance Officer.

Responsibilities:

* Partner with Morningstar Retirement and Morningstar Funds Trust to provide ongoing compliance support and guidance
* Review marketing materials and RFPs
* Assist in due diligence and other recurring investment company tasks including those regarding sub-advisers and service providers
* Create compliance-related training materials
* Undertake SEC filings, including Forms 13F, 13H, ADV Part 1, U4, and U5, and NFA filings
* Support the administration of the compliance programs and their policies and procedures
* Assist with the annual review of the compliance programs
* Perform other tasks/projects as assigned

Requirements:

* Bachelor's degree or relevant experience preferred
* A minimum of 3-5 years compliance experience working within the financial services industry
* Prior experience in investment company compliance oversight
* Experience with regulatory review of advertising/marketing material
* Familiarity with the Employee Retirement Income Security Act of 1974 (ERISA) a plus
* Excellent verbal and writing skills that enable messages and decisions to be articulated confidently, effectively and diplomatically
* Strong 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, highly organized, and an ability to interact and engage with employees at all levels
* Bilingual in English and Spanish is a plus

Morningstar is an equal opportunity employer.

001_MstarInc Morningstar Inc. 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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