Morningstar, Inc., a leading global provider of independent investment insights, is looking for an experienced compliance professional to serve as Global Chief Compliance Officer – Wealth, Retirement, and Research based in Chicago. 

Responsibilities:

• Develop, implement, and maintain a comprehensive global compliance program that encompasses investment management and advice, asset management, investment research, financial data sales, and enterprise software solutions across all jurisdictions where the company operates (30+ countries). 
• Lead and manage a team of compliance professionals across APAC, EMEA and AMER, fostering a culture of compliance and ethical behavior. 
• Provide guidance, coaching, and support to team members, enabling them to perform their duties effectively. 
• Organize a team of 26 compliance professionals into effective structures to foster collaboration and avoid silos. 
• Serve as the primary point of contact for regulatory authorities worldwide and manage relationships with regulatory agencies. 
• The Wealth business has registered entities in Australia, Canada, the United Arab Emirates, France, India, Japan, South Africa, the U.K. and the U.S. The Retirement business has registered entities in the U.S., and investment research is provided by 100+ research analysts globally and is regulated in several of the 30+ countries in which Morningstar offers its research and data. 
• Monitor changes in regulatory requirements and ensure that company policies and procedures are updated accordingly. 
• Conduct regular risk assessments to identify compliance risks and develop strategies to mitigate them. 
• Implement controls and measures to manage compliance-related risks effectively. 
• Work closely with the GCCO of Global Controls to ensure the Controls team is appropriately supporting the development and update of compliance policies, conflicts procedures, management of efforts to prevent financial crime and fraud and monitoring and testing programs in accordance with applicable laws and industry best practices. 
• Oversee and conduct internal investigations into compliance violations, if necessary, and recommend appropriate corrective actions. 
• Coordinate and manage regulatory audits and examinations, liaising with regulatory bodies as needed. 
• Promote a strong ethical culture throughout the organization by setting a positive example and encouraging ethical behavior among employees. 

Qualifications:

• Bachelor's degree in finance, law, business, or a related field; advanced degree and relevant certifications preferred. 
• Extensive experience in senior compliance roles within the financial services industry, with a proven track record of managing compliance in multiple jurisdictions.  
• Deep understanding of the Investment Advisers Act, ERISA and FINRA Rules, including as applicable to broker dealers and investment advisors.  
• Extensive experience interacting and engaging with regulatory authorities, including the US SEC. 
• Strong knowledge of financial regulations on a global scale. 
• Excellent leadership and management skills. 
• Exceptional communication and interpersonal skills. 
• Ability to work collaboratively with cross-functional teams. 
• Strong analytical and problem-solving abilities.
• Proven ability in managing and mentoring a diverse team of compliance professionals across AMER, APAC and EMEA
• Active FINRA Series 24 and Series 27 or 28 securities licenses preferred.