Head of Conflicts and Interest, Global Controls

hace 2 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.

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