M&t Compliance Manager

hace 4 días

Madrid, España Morningstar A tiempo completo

**The Team**:
Monitoring & Testing team is embedded in the Global Controls team, within the Compliance department

To assist in the responsibility, the Compliance Manager will interact with key stakeholders from Morningstar in various offices. This position is based in Madrid, Spain and reports to the Head of Monitoring & Testing in the Global Controls department.

**Responsibilities**

Manage the general monitoring program from end-to-end:

- Implement a robust Wealth & Research Monitoring & Testing program
- Manage general monitoring activities in-scope and ensure timely and effective execution of each of the activities.
- Ensure proper documentation of monitoring results for all monitoring activities in-scope.
- Communicate results within Compliance and with key business stakeholders.
- Ensure completion of any follow-ups resulting from the general monitoring activities.
- Identify opportunities for improvement and automation in order to execute the program more effectively and efficiently.
- Prepare Monitoring & Testing reports to be shared with Senior Management

**Requirements**:

- A minimum of 10 years of compliance related experience with a regulated entity and a minimum of 5 years of compliance experience in the financial service industry.
- Good knowledge of financial services regulations.
- Prior experience and specialized knowledge in products and process pertaining to the Wealth & Research business is a plus.
- Experience in managing and executing a comprehensive compliance monitoring or testing program.
- Experience drafting procedures and internal communications.
- Experience performing compliance reviews or testing, developing findings and recommendations, and independently manage compliance-related projects.
- Experience managing and providing effective compliance training and developing training materials within prescribed frameworks.
- Strong analytical and investigative skills.
- Good critical thinking and sound judgement skills.
- Strong interpersonal skills, with the ability to effectively influence and collaborate with diverse teams across multiple zones
- High degree of professionalism and integrity with demonstrated ability to handle confidential issues in a professional manner.
- Strong organizational and time management skills with the flexibility and willingness to respond to changing priorities.
- High level of attention to detail and problem-solving skills.
- A bachelor’s degree is required.
- A degree in finance, accounting, or economics and an advanced degree is preferred. Compliance related professional certifications such as the CFE is preferred.

LI-PI1

R10_DBRSRtgsGmbHSpain DBRS Ratings GmbH Sucursal en España - Spain 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.

  • M&T Compliance Manager

    hace 3 semanas

    Madrid, Madrid, España Morningstar A tiempo completo

    The Team:Monitoring & Testing team is embedded in the Global Controls team, within the Compliance departmentThe Role: Morningstar is currently seeking a Compliance Manager to manage monitoring & testing program for Wealth & Research business. Additionally, the Compliance Manager will carry out key monitoring activities within the scope of the general...

  • M&T Compliance Manager

    hace 2 meses

    Madrid, Madrid, España Morningstar A tiempo completo

    The Team:Monitoring & Testing team is embedded in the Global Controls team, within the Compliance departmentThe Role: Morningstar is currently seeking a Compliance Manager to manage monitoring & testing program for Wealth & Research business. Additionally, the Compliance Manager will carry out key monitoring activities within the scope of the general...

  • M&t Compliance Manager

    hace 1 semana

    Madrid, Madrid, España Morningstar A tiempo completo

    The Team:Monitoring & Testing team is embedded in the Global Controls team, within the Compliance departmentTo assist in the responsibility, the Compliance Manager will interact with key stakeholders from Morningstar in various offices. This position is based in Madrid, Spain and reports to the Head of Monitoring & Testing in the Global Controls...

  • Data Privacy And Compliance Manager

    hace 3 semanas

    Madrid, España Rheinmetall Expal Munitions S.A.U. A tiempo completo

    **Data Privacy and Compliance Manager (M/F/d)****Rheinmetall Expal Munitions S.A.U. in Madrid**- Rheinmetall- /- **Data Privacy and Compliance Manager (M/F/d)**- Ref.Nr.:- **ES00041**- Modalidad de contratación:- **Tiempo Completo**- Tipo de contrato:- **Contrato Permanente**PARA QUÉ LE BUSCAMOSDesde Rheinmetall Expal Munitons, buscamos un Responsable de...

  • Data Privacy And Compliance Manager

    hace 1 mes

    Madrid, España Rheinmetall Expal Munitions S.A.U. A tiempo completo

    **Data Privacy and Compliance Manager (M/F/d)****Rheinmetall Expal Munitions S.A.U. in Madrid**- Rheinmetall- /- **Data Privacy and Compliance Manager (M/F/d)**- Ref.Nr.:- **ES00041**- Modalidad de contratación:- **Tiempo Completo**- Tipo de contrato:- **Contrato Permanente**PARA QUÉ LE BUSCAMOSDesde Rheinmetall Expal Munitons, buscamos un Responsable de...

  • Data Privacy and Compliance Manager

    hace 2 semanas

    Madrid, España Rheinmetall Expal Munitions S.A.U. A tiempo completo

    **Data Privacy and Compliance Manager (M/F/d)** **Rheinmetall Expal Munitions S.A.U. in Madrid** - Rheinmetall - / - **Data Privacy and Compliance Manager (M/F/d)** - Ref.Nr.: - **ES00041** - Modalidad de contratación: - **Tiempo Completo** - Tipo de contrato: - **Contrato Permanente** PARA QUÉ LE BUSCAMOS Desde Rheinmetall Expal Munitons, buscamos...

  • M&T Compliance Associate

    hace 3 días

    Madrid, España Morningstar Credit Ratings, Llc A tiempo completo

    .Monitoring & Testing team is embedded in the Global Controls team, within the Compliance department.The Role: Morningstar is currently seeking a Compliance Associate to manage monitoring & testing program for our ESG (Sustainalytics) & Indexes business. Additionally, the Compliance Associate will carry out key monitoring activities within the scope of the...

  • M&t Compliance Associate

    hace 3 semanas

    Madrid, España Morningstar A tiempo completo

    **The Team**: Monitoring & Testing team is embedded in the Global Controls team, within the Compliance department. To assist in the responsibility, the Compliance Associate will interact with key stakeholders from Morningstar Sustainalytics and Indexes in various offices. This position is based in EU and reports to the Lead of Monitoring and Testing Team...

  • M&T Compliance Associate

    hace 2 meses

    Madrid, España Morningstar A tiempo completo

    The Team: Monitoring & Testing team is embedded in the Global Controls team, within the Compliance department. The Role: Morningstar is currently seeking a Compliance Associate to manage monitoring & testing program for our ESG (Sustainalytics) & Indexes business. Additionally, the Compliance Associate will carry out key monitoring activities within...

  • M&T Compliance Associate

    hace 2 meses

    Madrid, España Morningstar A tiempo completo

    The Team: Monitoring & Testing team is embedded in the Global Controls team, within the Compliance department. The Role: Morningstar is currently seeking a Compliance Associate to manage monitoring & testing program for our ESG (Sustainalytics) & Indexes business. Additionally, the Compliance Associate will carry out key monitoring activities within...

  • M&T Compliance Associate

    hace 2 meses

    Madrid, Madrid, España Morningstar A tiempo completo

    The Team:Monitoring & Testing team is embedded in the Global Controls team, within the Compliance department.The Role: Morningstar is currently seeking a Compliance Associate to manage monitoring & testing program for our ESG (Sustainalytics) & Indexes business. Additionally, the Compliance Associate will carry out key monitoring activities within the scope...

  • M&T Compliance Associate

    hace 3 semanas

    Madrid, España Morningstar A tiempo completo

    The Team: Monitoring & Testing team is embedded in the Global Controls team, within the Compliance department. The Role: Morningstar is currently seeking a Compliance Associate to manage monitoring & testing program for our ESG (Sustainalytics) & Indexes business. Additionally, the Compliance Associate will carry out key monitoring activities within...

  • M&T Compliance Associate

    hace 1 semana

    Madrid, Madrid, España Morningstar A tiempo completo

    The Team: Monitoring & Testing team is embedded in the Global Controls team, within the Compliance department. The Role: Morningstar is currently seeking a Compliance Associate to manage monitoring & testing program for our ESG (Sustainalytics) & Indexes business. Additionally, the Compliance Associate will carry out key monitoring activities within...

  • M&T Compliance Associate

    hace 1 semana

    Madrid, Madrid, España Morningstar A tiempo completo

    The Team:Monitoring & Testing team is embedded in the Global Controls team, within the Compliance department.The Role: Morningstar is currently seeking a Compliance Associate to manage monitoring & testing program for our ESG (Sustainalytics) & Indexes business. Additionally, the Compliance Associate will carry out key monitoring activities within the scope...

  • M&T Compliance Associate

    hace 3 semanas

    Madrid, España Morningstar A tiempo completo

    The Team: Monitoring & Testing team is embedded in the Global Controls team, within the Compliance department. The Role: Morningstar is currently seeking a Compliance Associate to manage monitoring & testing program for our ESG (Sustainalytics) & Indexes business. Additionally, the Compliance Associate will carry out key monitoring activities within...

  • M&T Compliance Associate

    hace 3 semanas

    Madrid, Madrid, España Morningstar A tiempo completo

    The Team:Monitoring & Testing team is embedded in the Global Controls team, within the Compliance department.The Role: Morningstar is currently seeking a Compliance Associate to manage monitoring & testing program for our ESG (Sustainalytics) & Indexes business. Additionally, the Compliance Associate will carry out key monitoring activities within the scope...

  • M&t Compliance Associate

    hace 1 semana

    Madrid, Madrid, España Morningstar A tiempo completo

    The Team:Monitoring & Testing team is embedded in the Global Controls team, within the Compliance department.To assist in the responsibility, the Compliance Associate will interact with key stakeholders from Morningstar Sustainalytics and Indexes in various offices. This position is based in EU and reports to the Lead of Monitoring and Testing Team for...

  • M&T Compliance Associate

    hace 1 semana

    Madrid, Madrid, España Morningstar A tiempo completo

    Monitoring & Testing team is embedded in the Global Controls team, within the Compliance department.The Role: Morningstar is currently seeking a Compliance Associate to manage monitoring & testing program for our ESG (Sustainalytics) & Indexes business. Additionally, the Compliance Associate will carry out key monitoring activities within the scope of the...

  • Data Privacy And Compliance Manager

    hace 1 semana

    Madrid, Madrid, España Rheinmetall Expal Munitions S.A.U. A tiempo completo

    Data Privacy and Compliance Manager (M/F/d)*Rheinmetall Expal Munitions S.A.U. in MadridRheinmetall / Data Privacy and Compliance Manager (M/F/d)Ref.Nr:- ES00041 Modalidad de contratación: Tiempo Completo Tipo de contrato: Contrato PermanentePARA QUÉ LE BUSCAMOSDesde Rheinmetall Expal Munitons, buscamos un Responsable de Protección de Datos y Compliance...

  • Data Privacy and Compliance Manager

    hace 1 semana

    Madrid, Madrid, España Rheinmetall Expal Munitions S.A.U. A tiempo completo

    Data Privacy and Compliance Manager (M/F/d)Rheinmetall Expal Munitions S.A.U. in Madrid Rheinmetall- /- Data Privacy and Compliance Manager (M/F/d) RefNr:- ES00041 Modalidad de contratación:- Tiempo Completo Tipo de contrato:- Contrato PermanentePARA QUÉ LE BUSCAMOSDesde Rheinmetall Expal Munitons, buscamos un Responsable de Protección de Datos y...