Compliance Analyst recruitment
The Area: With 150 employees, Morningstar Australia New Zealand has been providing independent investment research in Australia and New Zealand since 1999. We offer a broad range of products and services from mutual fund and equity data and research to software solutions and consulting.
The Role: Morningstar Australasia require a detail driven and passionate Compliance Analyst to ensure the businesses within the Morningstar Australasia group meet their corporate governance, regulatory, and compliance obligations. The role will be part-time and the ideal candidate will be looking for a flexible working arrangement, ideally amounting to 2 days per week. Working closely with the CFO in partnership with our management, operations, funds management and research teams; this role will be based in our Sydney office.
Key Responsibilities:
+To develop and maintain the legal, compliance, and risk management policies including liaison with the external responsible entity as required.
+ To ensure the CompliSpace compliance and risk management applications are maintained and effectively utilized within the business.
+ To ensure regulatory requirements (e.g. ASIC, FSC) are met and breaches are reported to the Morningstar and Ibbotson board, responsible entity board and regulators as required.
+ To maintain and oversee the services provided by legal service providers.
+ To perform company secretary functions for the Morningstar group of companies including setting agendas and minutes.
+ To review ASIC and other regulatory forms and reports, including preparation of regulatory forms for the AFSL licensed entities.
Requirements:
+ Strong organisation skills together with a proactive approach and a drive to meet required deadlines
+ Excellent communication and influencing skills with the ability to work cross functionally with business operations and external service providers
+ Proven ability to drive and manage change
+ Detailed understanding of regulatory requirements which affect AFSL holders and the investments/managed funds industry
+ Understanding of business processes and internal controls
+ Understanding of governance structures and protocols
+ Concern for quality and standards
+ At least 5 years experience in a compliance function
+ Educated to at least Bachelor’s degree level in a relevant subject
Morningstar is an Equal Opportunities Employer.