Compliance Manager, Conflicts of Interest, Morningstar DBRS

About the role

Responsibilities

Manage the general conflicts program from end-to-end:

• Coordinate and oversee the implementation and execution of the Conflicts of Interest program.

• Lead and develop the credit conflicts team sitting across different jurisdictions and multiple time zones, fostering a culture of accountability and continuous improvement.

• Act as key contact point for all conflicts related queries with internal and external stakeholders, including senior management, auditors and regulatory bodies, to maintain transparent communication and uphold program integrity.

• Conduct in-depth review of conflicts related risks, implement robust oversight to ensure effective monitoring and adherence to internal policies and applicable regulations.

• Partner with Senior leaders to provide guidance on complex conflicts scenarios, ensuring sound decision making and risk mitigation.

• Identify opportunities for improvement and automation to execute the program more effectively and efficiently.

Requirements

• A bachelor's degree with a minimum of 8 years of compliance-related experience, thereof a minimum of 5 years in the financial service industry.

• Proven experience in team management and leadership.

• Strong knowledge of financial services regulations pertaining to credit ratings agencies and conflicts of interest.

• Proven experience in Control Room functions and/or managing and executing a comprehensive compliance monitoring or testing program.

• Outstanding communication and interpersonal skills with the ability to effectively influence and collaborate with diverse teams across multiple zones

• Excellent analytical, problem-solving and decision-making skills.

• Strong organizational and time management skills with the flexibility and willingness to respond to changing priorities.

• High degree of professionalism and integrity with demonstrated ability to handle confidential issues in a professional manner.

Additional, preferred requirements

• A degree in finance, accounting, or economics and an advanced degree.

• Compliance related professional certifications.

• Prior experience and specialized knowledge in products and process pertaining to the credit ratings business is a plus.

• Background or experience in process automation or AI implementation is preferred.

Base Salary Compensation Range

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.