Compliance Manager

Compliance Manager
Bucureşti
Bucharest, Bucharest, Romania

About This Role: Morningstar Sustainalytics is currently seeking a seasoned Compliance Manager to support the business meet their strategic and regulatory needs. The successful individual will be responsible for supporting the implementation of the Sustainalytics Global Compliance Program. This is a position based in our Frankfurt office and reports to the Chief Compliance Officer (“CCO”) Sustainalytics.

Given the current market and regulatory environment, many rules and regulations have been enacted around the global. These rules and regulations continue to be updated. This role will be part of the Global Compliance team – with other members working in London, Madrid, Toronto and Timisoara. The Compliance Manager will be responsible for ensuring the Firm’s policies and procedures meet compliance with the European regulatory scheme and ensuring staff understand their responsibilities under the rules and regulations.

In this role, the successful candidate will have the ability to shape the role and have a meaningful impact. The Compliance Manager will be expected to do the following:

What You'll Do:

Manage the preparation for, and conduct of, regulatory examinations

Draft any compliance reports required by European regulatory authorities

Report on existing and emerging compliance issues and risks to the CCO

Foster, and maintain, a good working relationship with ESMA, compliance colleagues, members of other internal control functions and business management

Support the CCO to implement the compliance component on the development of new business processes, and on changes to current business processes arising from changes to European regulations

Assist the CCO in overseeing the compliance program to ensure alignment with European regulatory frameworks and provide ongoing assurance of adherence to Sustainalytics’ policies and procedures

Provide advice and guidance to management on matters relating to conduct and compliance, including identifying areas of compliance vulnerability and risk, based on findings of compliance reviews

Enhance 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 Sustainalytics to ensure that they are appropriately and consistently evaluated, investigated and resolved

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 and delivery of compliance materials and training

Assist with the continuous improvement of global compliance programs

Maintain compliance files and records

Implement and maintain policies and procedures for the general operation of the global compliance program within Sustainalytics.

Who You Are:

Significant experience (around 6 years or more) in compliance / regulatory control processes developed in Internal Audit in the Financial Services, Accounting or Legal professions

Experience interacting with and responding to regulatory inquiries, ideally with EU regulatory bodies

Experience in designing and implementing compliance / regulatory policies and procedures

Experience managing compliance teams

Advanced communication skills (verbal and written) to report regulatory compliance information

Strong analytical and investigative skills and sound judgment

Understanding/experience of ESG risk rating business would be an advantage

A degree, especially in law or similar discipline is a plus

Ready to Shape the Future?

At Morningstar, every hire we make strengthens our mission to empower investor success. Apply now and help shape the future of investing with us.

Morningstar's hybrid work environment gives you the opportunity to collaborate
- 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
- 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.

B99_Mstar
Holland
BV Morningstar Holland BV Legal Entity

Informații detaliate despre oferta de muncă

Firma:	Morningstar
Localiția:	Bucureşti Bucharest, Bucharest, Romania
Adăugat:	10. 11. 2025 Postul de muncă activ

Răspunde la anunț
Fii primul, care se va înregistra la oferta de muncă respectivă!