Head of Conflicts and Interest, Global Controls

hace 3 semanas

Madrid, España Morningstar A tiempo completo

**About the role**:
This position may be based in Madrid, Amsterdam or Frankfurt, and reports to the Global Chief Compliance Officer - Global Controls.

**Job responsibilities**:
The Head of Conflicts of Interest will be responsible for developing strategies and managing a program dedicated to identifying and managing conflicts of interest at Morningstar. Specific responsibilities include:
1. Team Leadership:

- Overseeing a team of compliance professionals currently based in Toronto, Europe and Mumbai which administers the Morningstar conflicts management system, including policies and procedures focused on personal securities trading, gifts & entertainment, restricted securities list maintenance, outside business interests, and avoiding conflicts of interest for control investors.
- Design, Develop and implement a robust conflicts of interest program for all Morningstar entities.
- Assessing existing strategies and establishing new strategies for the enhancement of controls supporting the conflicts of interest program, including enhancements to policies and procedures, systems, and reporting.
- Evaluating various disclosures and submissions for perceived or actual conflicts of interest and recommending the appropriate course of action, in consultation with the chief compliance officers.
- Tracking and reporting violations of policies and procedures to Chief Compliance Officers, Senior Management, and/or the board of directors.
- Provide advice to the business, senior management and board on COI risk management and mitigation
- Working directly with global compliance colleagues to support their applicable regulatory obligations, including the preparation, and conduct, of regulatory examinations and inquiries
- Ensure that compliance policies and procedures are consistent and align with regulatory requirements across all jurisdictions
- Provide guidance, mentorship, and support to team members, enabling them to excel in their roles and fulfill compliance objectives effectively.

2. Risk Assessment and Mitigation:

- Liaise with the risk management function to ensure compliance related risks as part of the risk assessment process.

3. Regulatory Engagement:

- Stay informed about evolving regulatory requirements and ensure company policies and procedures comply with these changes.

4. Audits and Examinations:

- Coordinate and manage regulatory audits and examinations related to COI topics globally, collaborating with global compliance colleagues as necessary.

5. Ethical Culture Promotion:

- Promote a strong ethical culture throughout the organization, setting a positive example and encouraging ethical behavior among employees.

**Qualifications**:

- A minimum of 10 years of legal or compliance related experience with a regulated entity in the financial service industry.
- A minimum of 8 years of experience in a Control Room environment evaluating conflicts of interest for a globally regulated financial services company would be of advantage.
- Experience in the development, implementation and monitoring of adherence to corporate conflicts of interest policies, procedures and other guidance documents. Experience with securities trading controls would be an asset.
- Strong analytical, investigative, and problem solving skills.
- Strong critical thinking and sound judgement.
- Strong interpersonal skills, with the ability to effectively communicate and collaborate with diverse teams.
- Demonstrated ability to handle confidential issues in a professional manner.
- A bachelor’s degree is required. A legal background or a Compliance related professional certification(s) is a plus.

302_MstarEurServSL Morningstar Europe Services, S.L. 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.

  • Head Of Internal Group Controls

    hace 1 semana

    Madrid, España Scope Group A tiempo completo

    Scope is looking for an experienced Head of Internal Controls for the Group, based in Berlin or Frankfurt. The role will be reporting to the COO and has in addition a functional reporting line to the CEO and supervisory board of Scope Group. The main responsibility is leading, managing, and driving the development of the Internal control function on group...

  • Global Head of Payroll

    hace 2 días

    Madrid, España Vestas A tiempo completo

    Are you ready to step into a Company with a vision to be the Global Leader of Sustainable Energy Solutions and take on the important role as Global Head of Payroll?  People & Culture > Global People Services > Global People Services, Regions The Global People Services in Vestas is looking for a proven people leader to guide our payroll teams...

  • Head of Global Accounts

    hace 4 semanas

    Madrid, España Chubb INA Holdings Inc. A tiempo completo

    Do you have Proven experience managing external partners/clients? As Head of Global Accounts, you will be responsible for both managing day-to-day client relationships and supporting strategies to drive global revenue growth, omnichannel distribution strategies, and client engagement with some of our largest clients in the international accident & health...

  • Head of Partnerships and Alliances

    hace 7 días

    Madrid, España SeproTec Multilingual Solutions A tiempo completo

    SHIP Global IP is a rapidly growing service provider offering the entire bandwidth of administrative services related to Intellectual Property, spanning from searches & opinions, filing, prosecution to litigation and maintenance, on an international level. Our customers include global players in over 30 different industries. Together with our sister company...

  • Group Head of Treasury Operations

    hace 4 semanas

    Madrid, España Verisure Sàrl A tiempo completo

    Verisure is Europe's fastest-growing monitored security company and continues to strengthen its presence in South America. This rapid expansion and ongoing success is expected to continue. As a result, we are reinforcing our Group Treasury team with an exciting, rewarding, and impactful position to support our ambitious growth plan. We are seeking a ...

  • Global Head of Operations Management

    hace 5 días

    Madrid, España Siemens Gamesa Renewable Energy A tiempo completo

    It takes the brightest minds to be a technology leader. It takes imagination to create green energy for the generations to come. At Siemens Gamesa we make real what matters, join our global team. Siemens Gamesa has a vision for renewable energy: we believe in the power of nature and technology. Help us to be ready to face the energy challenges of tomorrow...

  • Head Of Consumer Operations

    hace 1 semana

    Madrid, España Buscojobs ES C2 A tiempo completo

    LocationMadrid, Spain--Head of Consumer Operations--Hamlyn Williams is exclusively working with one of Europe's biggest fintech's, who are executing a global expansion across EMEA APAC & the US.We are currently looking for a Head of Customer Success / Head of Consumer Operations who will collaborate internationally with the respective teams across Europe,...

  • Global Head of Loan Agency

    hace 4 semanas

    Madrid, España LRI Invest A tiempo completo

    Description JD The Role Position: Head of Loan Admin & Loan Agency Operations Department: Loan Agency Location: Madrid About Apex Apex Group Ltd., established in Bermuda in 2003, is a global financial services provider. With over 80 offices in 38 countries worldwide and more than 10,000 employees, Apex Group delivers an expansive range of services to...

  • Head of Media and Public Relations

    hace 4 semanas

    Madrid, España SGS A tiempo completo

    Company DescriptionWe are SGS – the world's leading testing, inspection and certification company. We are recognized as the global benchmark for sustainability, quality and integrity. Our 99,600 employees operate a network of 2,600 offices and laboratories, working together to enable a better, safer and more interconnected world.Job DescriptionThe Head of...

  • Head of Media and Public Relations

    hace 4 semanas

    Madrid, Madrid, España SGS A tiempo completo

    Company DescriptionWe are SGS – the world's leading testing, inspection and certification company. We are recognized as the global benchmark for sustainability, quality and integrity. Our 99,600 employees operate a network of 2,600 offices and laboratories, working together to enable a better, safer and more interconnected world.Job DescriptionThe Head of...

  • Head of Procurement

    hace 7 días

    Madrid, España Engage ESM A tiempo completo

    **Publication Date**:Mar 23, 2023**Ref. No**:471141**Location**:Madrid, M, ES, 28037**The future is our choice** At Atos, as the global leader in secure and decarbonized digital, our purpose is to help design the future of the information space. Together we bring the diversity of our people’s skills and backgrounds to make the right choices with our...

  • Deputy Head of Training

    hace 3 semanas

    Madrid, España CAE A tiempo completo

    Role and Responsibilities Company Overview Join our prestigious aviation team at CAE, a leader in the aviation industry dedicated to excellence in training and safety. With a commitment to innovation and continuous improvement, we strive to set the standard for aviation training worldwide. We are seeking a dynamic and experienced individual to join us...

  • Head of Corporate Sales, Emea

    hace 7 días

    Madrid, España SeproTec Multilingual Solutions A tiempo completo

    SHIP Global IP is a rapidly growing service provider offering the entire bandwidth of administrative services related to _Intellectual Property_, spanning from searches & opinions, filing, prosecution to litigation and maintenance, on an international level. Our customers include global players in over 30 different industries. Together with our sister...

  • Regional Head of Procurement

    hace 4 semanas

    Madrid, España Bramwith Consulting A tiempo completo

    **Job Details**: - Location: **Madrid** - Posting date: **21 Feb 2023** - Job type: **Permanent** - Sector: **IT** - Salary **£90000 - £120000** **Regional Head of Procurement - IT & Professional Services - Iberia** **Global Leader in IT Services & Consulting** **Location - Madrid** As part of its Emerging Markets Development Strategy, this...

  • Head of D365 ERP

    hace 4 semanas

    Madrid, España Sulzer A tiempo completo

    IT-E484 HEAD OF D365 ERP - Full Time - Madrid, Spain **As the Head of ERP you will be responsible for **ensuring the business users are supported, systems landscape integrated in effective fashion and designed to support business processes. **Your main tasks and responsibilities will be**: - Responsible for maintenance and support of the D365 F&O cloud...

  • Emea Regional Manager of Risk

    hace 4 semanas

    Madrid, España Wunderman Thompson A tiempo completo

    **Who we are**: At Wunderman Thompson we exist to inspire growth for ambitious brands. Part creative agency, part consultancy and part technology company, our experts provide end-to-end capabilities at a global scale to deliver inspiration across the entire brand and customer experience. We are 20,000 strong in 90 markets around the world; our people bring...

  • Compliance Officer

    hace 2 semanas

    Madrid, España Sdi Digital Group A tiempo completo

    Description du poste You will join Credit Agricole CIB Spain . You will support the compliance (CPL) department on the following tasks apart from the day-to-day business : Compliance Annual Control Plan : Assist and perform controls related to AML issues, Sanctions, Capital Markets activities, GDPR, Conflicts of Interest, Fraud and Corruption and Transversal...

  • Compliance Officer

    hace 4 semanas

    Madrid, España Crédit Agricole Group A tiempo completo

    You will join Credit Agricole CIB Spain . You will supportthe compliance (CPL)department on the following tasks apart from the day-to-day business: · Compliance Annual Control Plan : Assist and perform controls related to AML issues, Sanctions, Capital Markets activities, GDPR, Conflicts of Interest, Fraud and Corruption and Transversal CPL topics. Specific...

  • Global Head of People Operations

    hace 4 semanas

    Madrid, España Selina A tiempo completo

    Our mission is to build a global movement where people live, travel, work and experience, while making meaningful connections. Selina was born out of a desire to celebrate the nomadic lifestyle: to experience our planet’s most beautiful places, to build community, to engage with locals and fellow travelers, to work and enjoy new adventures. The Selina...

  • Head of D365 ERP

    hace 2 semanas

    Madrid, España Sulzer A tiempo completo

    GF_IT-E484 Head of D365 ERP - Full Time - Madrid, Spain Sulzer is a leading engineering company with a proud heritage of innovation. Join our global team to grow your expertise and develop innovative solutions that enable a prosperous and more sustainable society.  We are looking for a/an Head of D365 ERP to join our GF_IT team in Spain . ...