Compliance Associate Compliance Associate …

Morningstar.
in London, England, United Kingdom
Permanent, Full time
Last application, 19 Jun 19
Competitive
Morningstar.
in London, England, United Kingdom
Permanent, Full time
Last application, 19 Jun 19
Competitive
Morningstar is seeking a Compliance Associate to join our EMEA Compliance Team in London.

This is a London based role, within the EMEA Compliance Team, reporting directly to the Chief Compliance Officer for the EMEA region. The Compliance Associate would assist the Chief Compliance Officer EMEA by performing certain activities within the remit of the EMEA compliance programme, including but not limited to:

  • Manage the review and associated administration of externally issued materials including client presentations, social media postings, commentaries, website content, financial promotions, etc. to ensure compliance with relevant regulatory standards.
  • Perform compliance monitoring reviews, as assigned, in accordance with the annual compliance monitoring programme.
  • Support the ongoing review and assessment of applicable regulatory and industry developments.
  • Administer the Code of Ethics Compliance programme to effectively manage the associated conflicts of interest.
  • Assimilate, administer, manage and as required, prepare compliance related management information for presentation and dissemination.
  • Support the review, maintenance and organisation of related compliance policies.
  • Support the preparation and delivery of scheduled compliance training.
  • Perform administrative duties to suitably organise and maintain internal compliance records including associated files, registers, reports, timetables and calendars.
  • Assist in other compliance-related projects, as assigned by the Chief Compliance Officer.

Requirements:

  • Degree in Business, Finance, Accounting or related field and/or relevant professional qualification(s) preferable.
  • Minimum of two (2) years' experience working within financial services compliance.
  • Fundamental understanding of the UK/EU regulatory environment and specifically the FCA Handbook of rules and guidance.
  • Experience in compliance monitoring and regulatory review of financial promotions and externally issues materials is highly desirable.
  • Attention to detail, well organised and an ability to interact and engage with employees at all levels.
  • Accomplished verbal and written communication skills that enable messages and decisions to be articulated confidently, effectively and diplomatically.
  • Forward thinking, innovative and adaptable with a commitment to continuing professional development.
  • High level of proficiency in Microsoft Office applications, preferably with an ability to creatively apply these skills to enhance and improve existing processes.

Morningstar is an equal opportunity employer.

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