Compliance Analyst

The Team: Morningstar's Compliance team supports Morningstar's global business entities, primarily focusing on those registered with and governed by regulatory authorities. Our compliance professionals help each Morningstar business entity adhere to the rules and regulations of the local regulatory authorities.
The Role: Morningstar's Compliance team is currently seeking a highly motivated Compliance Analyst to join our compliance team. The primary focus of the role is to assist in the daily administration of the compliance program for Morningstar Wealth, Retirement, and Research. This position is based in Chicago and reports to Morningstar Investment Management's Chief Compliance Officer, Americas - Wealth, Retirement, and Research.
Key Responsibilities:

• Provide ongoing compliance support and guidance to Wealth, Retirement, and Research
• Review marketing materials and RFPs
• Create compliance-related training materials
• Undertake SEC filings including Forms 13F, 13H, ADV Part 1, U4, and U5
• Manage business-level support for code of ethics monitoring
• Act as liaison between the Wealth, Retirement, and Research teams and Global Controls compliance

• Support the administration of the compliance program and its policies and procedures

• Assist with the annual review of the compliance program
• Perform other tasks/projects as assigned

Requirements:

• Bachelor's degree or relevant experience preferred
• 1-2 years' compliance experience, ideally within the financial services industry
• Interest in compliance monitoring and/or regulatory review of marketing material
• Motivated to learn the Investment Advisers Act of 1940, Employee Retirement Income Security Act of 1974 (ERISA), and/or the Investment Company Act of 1940
• Excellent verbal and writing skills that enable messages and decisions to be articulated confidently, effectively, and diplomatically
• Strong Excel and AI skills
• Robust interpersonal skills and ability to work effectively in a team environment
• Ability to manage multiple projects and deadlines simultaneously
• High degree of integrity and strong work ethic
• Attention to detail and highly organized
• Spanish reading comprehension is a plus

Compensation and Benefits
At Morningstar we believe people are at their best when they are at their healthiest. That's why we champion your wellness through a wide-range of programs that support all stages of your personal and professional life. Here are some examples of the offerings we provide:

• Financial Health
  • 75% 401k match up to 7%
  • Stock Ownership Potential
  • Company provided life insurance - 1x salary + commission

• Physical Health
  • 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 annual
  • 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 Bonding Leave
  • Adoption Assistance
  • Leadership Coaching & Formal Mentorship Opportunities
  • Annual Education Stipend
  • Tuition Reimbursement

• Social Health
  • Charitable Matching Gifts program
  • Dollars for Doers volunteer program
  • Paid volunteering days
  • 15+ Employee Resource & Affinity Groups

Total Cash Compensation Range
$59,900.00 - 101,825.00 USD Annual
Inclusive of annual base salary and target incentive
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.
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