Morningstar Sustainalytics
Compliance Manager(m/w/x)
Full-timeWith HomeofficeManagement
Frankfurt am Main
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MOMorningstar Sustainalytics
Compliance Manager(m/w/x)
Frankfurt am Main
Full-timeWith Home OfficeSenior
Nejo AI Summary
Drafting regulatory reports for European authorities and managing examination prep at an investment firm. Experience interacting with EU regulatory bodies and managing compliance teams required. Direct CCO support for new business process compliance.
Requirements
- Significant experience in compliance or regulatory control processes
- Experience interacting with regulatory inquiries, ideally with EU regulatory bodies
- Experience in designing and implementing compliance policies and procedures
- Experience managing compliance teams
- Advanced communication skills to report regulatory compliance information
- Strong analytical and investigative skills
- Understanding of ESG risk rating business, advantageous
- Degree in law or similar discipline, a plus
Tasks
- Manage regulatory examination preparations and conduct
- Draft compliance reports for European regulatory authorities
- Report compliance issues and risks to the CCO
- Foster relationships with ESMA and internal control functions
- Support the CCO in implementing compliance for new business processes
- Assist in overseeing compliance program alignment with regulations
- Provide guidance on conduct and compliance matters
- Identify compliance vulnerabilities based on review findings
- Enhance procedures for reporting and investigating compliance incidents
- Maintain records of violation reports and actions taken
- Share best practices and expertise within the Compliance team
- Assist in developing and delivering compliance training materials
- Contribute to the improvement of global compliance programs
- Maintain compliance files and records
- Implement policies for the global compliance program operation
Work Experience
- 6 years
Education
- Bachelor's degree
Languages
- English – Business Fluent
Find the original job posting in its most current version here. Nejo automatically captured this job from the website of Morningstar Sustainalytics and processed the information on Nejo with the help of AI for you. Despite careful analysis, some information may be incomplete or inaccurate. Please always verify all details in the original posting! Content and copyrights of the original posting belong to the advertising company.
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MOMorningstar Sustainalytics
Compliance Manager(m/w/x)
Frankfurt am Main
Full-timeWith Home OfficeSenior
Nejo AI Summary
Drafting regulatory reports for European authorities and managing examination prep at an investment firm. Experience interacting with EU regulatory bodies and managing compliance teams required. Direct CCO support for new business process compliance.
Requirements
- Significant experience in compliance or regulatory control processes
- Experience interacting with regulatory inquiries, ideally with EU regulatory bodies
- Experience in designing and implementing compliance policies and procedures
- Experience managing compliance teams
- Advanced communication skills to report regulatory compliance information
- Strong analytical and investigative skills
- Understanding of ESG risk rating business, advantageous
- Degree in law or similar discipline, a plus
Tasks
- Manage regulatory examination preparations and conduct
- Draft compliance reports for European regulatory authorities
- Report compliance issues and risks to the CCO
- Foster relationships with ESMA and internal control functions
- Support the CCO in implementing compliance for new business processes
- Assist in overseeing compliance program alignment with regulations
- Provide guidance on conduct and compliance matters
- Identify compliance vulnerabilities based on review findings
- Enhance procedures for reporting and investigating compliance incidents
- Maintain records of violation reports and actions taken
- Share best practices and expertise within the Compliance team
- Assist in developing and delivering compliance training materials
- Contribute to the improvement of global compliance programs
- Maintain compliance files and records
- Implement policies for the global compliance program operation
Work Experience
- 6 years
Education
- Bachelor's degree
Languages
- English – Business Fluent
Find the original job posting in its most current version here. Nejo automatically captured this job from the website of Morningstar Sustainalytics and processed the information on Nejo with the help of AI for you. Despite careful analysis, some information may be incomplete or inaccurate. Please always verify all details in the original posting! Content and copyrights of the original posting belong to the advertising company.
About the Company
Morningstar Sustainalytics
Industry
Consulting
Description
The company empowers investor success through strategic and regulatory compliance.
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