Compliance Officer - Sustainalytics
Morningstar
- Amsterdam, Noord-Holland
- Vast
- Voltijds
- Support the compliance program to meet the regulatory framework requirements enacted in Europe, and provide ongoing compliance support with alignment towards Morningstar Sustainlytics’ policies and procedures;
- Provide advice and guidance to employees on matters relating to conduct and all compliance areas, including identifying areas of compliance vulnerability and risk, based on findings of compliance reviews;
- Support standard procedures for the intake (including for anonymous reporting and complaints from third parties), investigation, escalation and reporting of potential compliance related incidents relating to Morningstar Sustainlytics to ensure that they are appropriately and consistently evaluated, thoroughly investigated and duly resolved;
- Support the preparation for, and conduct of, regulatory examinations;
- Report on existing and emerging compliance issues and risks to the GCCO;
- Maintain records of any violation reports received, including details of any actions taken;
- Contribute to the ongoing development of the Compliance team by sharing best practices, knowledge, expertise and lessons learned on a regular basis;
- Assist with the development, maintenance, advice against, and delivery of, compliance related materials, policies, procedures and training materials preparation and roll-out;
- Assist with the continuous improvement and execution of global compliance programs and functions;
- Maintain compliance files and records;
- Implement and maintain policies and procedures required throughout all relevant operational workflows of the global compliance program within Sustainlytics.
- 5 years of experience in compliance / regulatory control processes developed in Internal Audit, Financial Services, Accounting and/or Legal professions;
- Experience interacting with, and responding to, inquiries from regulators is preferred;
- Highly developed interpersonal skills to build and maintain effective internal and external relationships;
- Advanced communication skills (verbal and written) to report regulatory compliance information;
- Strong analytical and investigative skills and sound judgment;
- Understanding/experience of credit rating business processes would be an advantage;
- Excellent team-work and time management abilities, pro-activeness and resiliency.
- A bachelor’s degree is required. A law or advanced degree is preferred but not mandatory.