Morningstar, Inc., a leading global provider of independent investment research, is looking for a specialist in the Global Regulatory Strategy and Advisory Team, Legal. The role will be a primary legal resource on identifying regulatory issues that may affect Morningstars European operations and advising on how to proactively address them, including, in connection with new business line developments. This position directly reports to the Global Head of Regulatory and Government Affairs Strategy.

 

Job responsibilities:

While not meant to be a comprehensive list of functions, principal day-to-day responsibilities of this role in Europe include:

• Advising the business on regulatory strategy and risk, including with respect to regulatory matters associated with strategic initiatives and new business line development.
• Advising Compliance on the management of Morningstars regulatory compliance responsibilities and consulting with external parties, as appropriate.
• Serving as one of Morningstars contacts and negotiators in Europe with regulatory bodies.
• Advising on strategy for defending and settling any regulatory action or other related matters involving any of Morningstars regulated businesses.
• Assisting with formal examinations or investigations by a regulator, regulatory registrations, and written submissions in response to consultations from regulators in EMEA, as necessary.
• Advising the Compliance Team in internal investigations, and development and implementation of policies, guidelines and other documents pertaining to regulatory requirements applicable to Morningstars regulated businesses in EMEA, as necessary.
• Developing and implementing the training framework to build a high performing regulatory legal team that can support Morningstars regulated businesses as they continue to grow.
• Staying current on regulations and other changes in regulatory requirements that could impact Morningstars businesses.

 

Qualifications:

• Law degree and qualified to practice in England & Wales, or other European Union Member country.

• At least 8 years of financial services or securities law experience in the UK or other European jurisdiction.

• Financial services compliance/regulatory experience  is required.

• Substantive familiarity with the FCA Handbook and the UK and EU Benchmark Regulation is required.

• Structured finance transactional experience is an advantage.

• In-house experience working for a regulated entity is preferred.

• Investment advisor and asset management regulatory experience is beneficial.

• Leadership skills and the ability to influence.

• Integrity and a high degree of professional ethics.

• Excellent judgement and analytical skills.

• Strong interpersonal and communication skills, including excellent, clear drafting.

• Ability to work efficiently and independently, prioritize workflow, and meet deadlines.

Base Salary Compensation Range

EUR 86,000.00-120,666.66

Bonus Target:

20% Annual

We expect the compensation and target bonus for this role to fall within the stated range. The specific compensation offered will depend on the candidates qualifications, experience, and other job-related factors.

Morningstar's hybrid work environment gives you the opportunity to collaborate in-person each week as we've found that we're at our best when we're purposely together on a regular basis. In most of our locations, our hybrid work model is four days in-office 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.

301_MstarEurLtd Morningstar Europe Ltd (UK) Legal Entity