Compliance Director

Key Responsibilities

• Design, implement, and oversee the compliance program for United States-based regulated entities under the Investment Advisers and Investment Company Acts
• Administer and support local and global controls compliance team activities regarding policies and procedures, advisory agreements, registrations, regulatory filings, disclosures, training, monitoring and testing, customer complaints, and risk assessments
• Manage relationships with clients and regulators on material compliance matters
• Stay informed of regulatory developments, respond to regulatory inquiries, and facilitate regulatory examinations
• Provide advice to employees on material compliance and regulatory matters and respond to escalated questions from business units
• Supply guidance on new products/services or material changes to the business model
• Monitor implemented updates by business units due to regulatory or compliance policy changes
• Prepare and present informal and formal training sessions on complex topics
• Oversee and mentor the United States compliance team
• Support the United States compliance team with other tasks, initiatives, or projects, as directed
• Promote a culture of compliance

  Requirements

  • Bachelor's degree. Advanced degree and/or relevant certifications a plus
  • 8+ years’ compliance experience with investment adviser and investment company regulations
  • Background in Investment Fund Management
  • Solid understanding of and experience with applicable advisory services, regulatory environment, rules and regulations (Advisers Act, Investment Company Act, ERISA), and implementing policies and procedures for new or changing regulations
  • Experience with all facets of a compliance program and successful implementation of courses of action
  • Excellent verbal and writing skills that enable messages and decisions to be articulated confidently, effectively, and diplomatically across all levels of the business
  • Provide well-informed guidance backed by strong knowledge and analysis of the issue
  • Strong commitment to providing support to the compliance team, internal customers (management, businesses, products, etc.), and protecting the company and stakeholders
  • Strong organizational and project management skills with the flexibility to respond to changing priorities
  • Robust interpersonal skills and ability to work effectively in a team environment
  • Able to manage multiple projects and deadlines simultaneously
  • High degree of integrity and strong work ethic
  • Attention to detail and highly organized
  • Strong leadership/management experience

    Compensation And Benefits

    • Total Cash Compensation Range: $161,050.00-246,933.33 Inclusive of annual base salary and target incentive
    • Financial Health: 100% 401k match up to 6% of salary
    • Stock Ownership Potential
    • Company provided life insurance - 1x salary + commission
    • Comprehensive health benefits (medical/dental/vision) including potential premium discounts and company-provided HSA contributions (up to $500-$2,000 annually for specific plans and coverages)
    • Additional medical Wellness Incentives - up to $300-$600 annually
    • Company-provided long- and short-term disability insurance
    • Emotional Health: Trust-Based Time Off, 6-week Paid Sabbatical Program, 6-Week Paid Family Caregiving Leave, Competitive 8-24 Week Paid Parental Leave, Adoption Assistance
    • Lifestyle Health: Leadership Coaching & Formal Mentorship Opportunities, Annual Flex Stipend - $1000 annually to cover personal education & well-being expenses, Tuition Reimbursement
    • Social Health: Charitable Matching Gifts program, Dollars for Doers volunteer program, Paid volunteering days, 15+ Employee Resource & Affinity Groups
    • 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.