Chief Compliance Officer EMEA

  • Competitive
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Morningstar.
  • 08 Aug 18 2018-08-08

The Chief Compliance Officer for EMEA (“CCO-EMEA”) is responsible for compliance and regulatory matters emanating from the EMEA region. This includes effectively managing the compliance and regulatory risks Morningstar is exposed to in the EMEA region by designing, implementing and maintaining a compliance framework that minimizes (if not eliminates) Morningstar’s exposure to such risks.

This compliance framework brings together policies, procedures and processes that effectively: 

• prevents and detects violations of laws, regulations and policies; 
• promotes an organizational culture that encourages ethical conduct and commitment to compliance with the law; 
• addresses the specific risks associated with a given business model with concrete actions to reduce or eliminate those risks; and 
• ensures that employees understand and comply with the laws, regulations and policies that apply to their daily work. 

The CCO-EMEA will lead, direct and oversee the compliance professionals that are assigned to the EMEA region and who will assist in the CCO-EMEA in maintaining an appropriate compliance framework for a specific jurisdiction(s) (“Local Compliance Professionals”). 

The CCO–EMEA will report to Morningstar, Inc.’s Global Chief Compliance Officer who is based out of Morningstar’s corporate headquarters in Chicago, U.S.A. 

The CCO–EMEA will perform or cause the performance of such things as: 
• Promoting a culture of compliance by having an open, honest, and ongoing communication the Local Compliance Professionals and business group’s staff. 

• Leading, directing and overseeing the activities performed by the Local Compliance Professionals including their identification of areas of risk and the design, implementation, and maintaining the necessary policy, procedures and controls to minimize those identified risks; 

• Providing guidance to Local Compliance Professionals and/or business group’s senior management or staff members on regulatory and compliance matters. 
 

• Serving as the technical resource with regards to EMEA compliance and regulatory matters, responding to questions and matters as they arise. 

• Collaborating with Local Compliance Professionals on training programs for a business group including determining the timing of sessions and the topics and content to be presented. 

• Keeping abreast of developments in rules and regulations in the EMEA region that pertain to the business group’s products and services. 

• Collaborating with the Local Compliance Professionals in interpreting new rules and regulations and implementing the strategy (including creating new or enhancing existing policies and procedures) to comply with such rules and regulations within the required regulatory timeframe. 

The CCO-EMEA is to be detail-oriented, independent thinker who excels at interacting with colleagues of all levels. The CCO-EMEA is to have strong writing and communication skills, superior understanding of the regulatory structure and requirements pertaining to investment advice/investment research in EMEA. Proficiency in Microsoft Office applications is needed, along with the ability to use the Internet for searches. A bachelor’s degree in business, finance, accounting, or a related field is required. 

Morningstar is an equal opportunity employer.