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The Role
The role involves advising on regulatory issues affecting European operations, compliance management, negotiations with regulatory bodies, and handling investigations.
Summary Generated by Built In
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 Morningstar's 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:
Qualifications:
Base Salary Compensation Range
0.00-0.00
Bonus Target:
We expect the compensation and target bonus for this role to fall within the stated range. The specific compensation offered will depend on the candidate's 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.
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 Morningstar's regulatory compliance responsibilities and consulting with external parties, as appropriate.
- Serving as one of Morningstar's 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 Morningstar's 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 Morningstar's regulated businesses in EMEA, as necessary.
- Developing and implementing the training framework to build a high performing regulatory legal team that can support Morningstar's regulated businesses as they continue to grow.
- Staying current on regulations and other changes in regulatory requirements that could impact Morningstar's 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
0.00-0.00
Bonus Target:
We expect the compensation and target bonus for this role to fall within the stated range. The specific compensation offered will depend on the candidate's 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.
Skills Required
- Law degree and qualified to practice in a European Union Member State or England
- At least 6 years of financial services or securities law experience
- Financial services compliance/regulatory experience
- Experience dealing with the European Securities and Markets Authority or Financial Conduct Authority
- Must be admitted to practice law or eligible for admission to practice as in-house counsel
What the Team is Saying
Anna
Team Lead of Software Engineering
Upasna
Software Engineer, Data Collections - AI R&D
Saurabh
Senior Software Engineer
Wendell
Head of Sales, Institutional Equity Research
Raaghavendar
Associate Software Engineer
Jeff
Head of Technology and Product
Morningstar Compensation & Benefits Highlights
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Leave & Time Off Breadth — A recurring paid sabbatical combined with flexible time off in North America and regionally set PTO provides substantial time-away flexibility. Paid volunteer days further broaden the time-off offering.
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Parental & Family Support — A global minimum of paid parental leave for primary and secondary caregivers, along with paid caregiving leave, signals strong family support. Adoption-assistance reimbursement adds another layer of care for growing families.
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Retirement Support — Retirement programs include employer matching or fixed contributions and free access to Morningstar retirement-planning tools. These elements support long-term savings alongside the broader total-rewards package.
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The Company
What We Do
At Morningstar, we believe in building great products in-house in a highly collaborative, agile environment where we focus on technical excellence, the user experience, and continuous improvement. Our technologists represent a range of skills and experience levels, but they all view their work as a craft and push technology’s boundaries.
Why Work With Us
Imagining big things is in our blood -- it's transformed us from a company with just a few employees in 1984 to a leading independent investment research company with a worldwide presence today. As of April 2020, we acquired Sustainalytics to drive long-term meaningful outcomes for investors in the ESG space. Join us on this exciting journey!
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Morningstar Offices
Hybrid Workspace
Employees engage in a combination of remote and on-site work.
Typical time on-site:
3 days a week
