Compliance Associate

| Chicago

The Team:   Morningstar’s Legal & Compliance team supports Morningstar’s global business entities, primarily focusing on those registered with and governed by regulatory authorities. Our legal experts work to protect our intellectual property and make sure we continue to conduct business with uncompromising ethics. 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 Associate to join our compliance team.  The primary focus of the role is to assist in the daily administration of the compliance program. This position is based in Chicago and reports to the Compliance Manager of Morningstar, Inc.

 

Key Responsibilities:

  • Assist with Code of Ethics compliance monitoring for Morningstar’s broker dealer, registered investment advisers, and other monitored groups, as needed
  • Serve as first point of contact for ad hoc questions from business units
  • Assist with compliance reviews of new business initiatives
  • Create compliance-related training materials
  • Conduct email reviews
  • Assist in review of marketing materials and RFPs
  • Assist in the administration of Advisers Act Rule 206(4)-7 and compliance programs
  • Assist in periodic testing of compliance policies and procedures pursuant to Rule 206(4)-7 of the Investment Advisers Act
  • Assist in the annual review and amendments to Form ADV
  • Perform other tasks/projects as assigned

 

Requirements:

  • Bachelor's degree in Business, Finance, Accounting or related field and or relevant experience preferred
  • A minimum of 1-3 years compliance experience working within the financial services industry
  • Experience of compliance monitoring and/or regulatory review of advertising/marketing material highly desirable
  • 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
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Technology we use

  • Engineering
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Location

22 W. Washington , Chicago, IL 60602

What are Morningstar Perks + Benefits

Culture
Volunteer in local community
Friends outside of work
Eat lunch together
Daily stand up
Open door policy
Team owned deliverables
Team based strategic planning
Group brainstorming sessions
Open office floor plan
Health Insurance & Wellness Benefits
Flexible Spending Account (FSA)
Disability Insurance
Dental Benefits
Vision Benefits
Health Insurance Benefits
Life Insurance
Wellness Programs
Retirement & Stock Options Benefits
401(K)
401(K) Matching
Company Equity
Employee Stock Purchase Plan
Performance Bonus
Match charitable contributions
Child Care & Parental Leave Benefits
Child Care Benefits
Generous Parental Leave
Flexible Work Schedule
Family Medical Leave
Adoption Assistance
Company sponsored family events
Acme co. sponsors family oriented events Annually.
Vacation & Time Off Benefits
Unlimited Vacation Policy
Generous PTO
Paid Volunteer Time
Sabbatical
Paid Holidays
Perks & Discounts
Casual Dress
Commuter Benefits
Happy Hours
Parking
Recreational Clubs
Fitness Subsidies
Professional Development Benefits
Job Training & Conferences
Tuition Reimbursement
Diversity Program
Promote from within
Mentorship program
Our mentorship program includes 1-to-1 program, Career mentoring, Leadership mentoring.
Continuing Education stipend
Online course subscriptions available
Customized development tracks
Paid industry certifications

Additional Perks + Benefits

Compensation at Morningstar is more than a salary. It’s about making positive contributions to both life and work. We give our diverse workforce the choice and flexibility they need to maintain their health, retirement plans, time, and professional growth.

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