M&T Compliance Manager

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 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 monitoring program. The successful candidate will have the ability to shape the role and have a meaningful impact on the entire Morningstar organization. 

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. Strong systems background related to email monitoring/surveillance platforms and other general monitoring tools. 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.

About the Role

Would you like to be the voice of Morningstar, delivering the highest quality of service and professionalism to our clients?
We are looking for a Customer Success Manager who wants to push themselves in a career in Financial Services.
You will work together with our institutional clients using Morningstar´s flagship analysis tool, Morningstar Direct, to ensure they are successful in using the product.
Morningstar is a global investment research firm that compiles and analyzes investment data in a number of different lenses, including performance, risk and sustainability. The company provides an extensive line of products for individual investors, financial advisors and institutional clients.

The role:
Morningstar is seeking a Customer Success Manager for our institutional research platform Morningstar Direct to be based in our office in Madrid. In this role, you will be responsible for understanding your customers’ business drivers and their desired outcomes, so that Morningstar can deliver value, retain and grow the accounts, and meet contractual commitments. The ability to communicate clearly and form strong relationships with our clients is critical for this role.
Founded on teamwork, you will be part of an organization in Europe and globally that will enable you to learn and grow with your peers, while being supported by Morningstar Product, Sales and Service teams.

Job Responsibilities

• Become a product expert on Morningstar Direct, providing guidance and best practice advice on how customers can leverage Morningstar’s services. By building a trusted relationship you will retain current engagements and identify new opportunities to grow the customer’s business with Morningstar.
• You will play an important role in the Sales process, working closely with our Sales department to understand a client’s needs and map them to the capabilities of Morningstar Direct.

• Proactively build client relationships, including the ability to anticipate and listen to our clients’ needs. Achieve this by working closely with clients and liaising internally with Sales, Product and Customer Success Teams in order to meet customer requirements.
• Work closely with your assigned Morningstar client base to ensure high levels of service delivery and customer Return On Investment.
• Use your innovative approach to contribute to the business and work with product managers, data and sales colleagues in order to evolve Morningstar services.
• Initiate and drive client workshops and/or user forums to train and grow usage of Morningstar Direct.
• Proactively contribute to the renewal process and drive a strong renewal rate by continuously managing client satisfaction levels - and working closely with sales teams to identify and evaluate potential upsell opportunities.

Qualifications

• Fluency in English, Spanish and another European language is required (ideally Italian)

• Strong communication and presentation skills, both written and oral.
• Strong customer-centric, strategic approach.
• Proven organizational and multi-tasking skills.
• Ease in dealing with ambiguity; ability to create focus, coordination and keeping internal & external stakeholders on track.
• Experience in the Financial Services industry is preferred
• Ability to develop strong internal and external partnerships and relationships.
• Bachelor’s degree or equivalent.

Hybrid Work Model

Morningstar’s hybrid work environment gives you the opportunity to work remotely and collaborate in-person 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.

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.

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