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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Corporate - Securities and Capital Markets
Finance - Financial Services Regulation
Min 8 yrs required
Salary Information: Salary is commensurate with experience. # Senior Regional Counsel, Regulatory Strategy and Advisory **Job Description** Morningstar, Inc. is looking for an experienced specialist in the Global Regulatory Strategy and Advisory Team, Legal to serve as a primary legal resource on identifying regulatory issues that may affect Morningstar’s North American operations and advise on how to proactively address them. This role will directly report to Global Head of Regulatory Strategy and Advisory, Legal. **Job Responsibilities:** - Advise the business on regulatory strategy and risk, including with respect to regulatory matters associated with strategic initiatives and new business line development - Advise Compliance on the management of Morningstar’s regulatory compliance responsibilities and consulting with external parties, as appropriate - Serve as a contact and negotiator with regulatory bodies - Advise on strategy for defending and settling any regulatory action or other related matters involving any of Morningstar’s regulated businesses - Assist with formal examinations by a regulator, regulatory registrations, and written submissions in response to consultations from regulators, as necessary - Advise the Compliance Team in development and implementation of policies, guidelines and other documents pertaining to regulatory requirements applicable to Morningstar’s regulated businesses - Develop and implement the training framework to build a high performing regulatory legal team that can support Morningstar’s regulated businesses as they continue to grow - Stay current on regulations and other changes in regulatory requirements that could impact Morningstar’s businesses **Qualifications:** - Law degree and qualified to practice in New York or Illinois, or other relevant US State - At least 8 years of financial services or securities law experience in a North American jurisdiction - Structured finance transactional experience, credit rating experience, or other financial services compliance/regulatory experience required - Experience in dealing with regulators is an advantage - Investment advisor and asset management regulatory experience is beneficial - Must be admitted to practice law or eligible for admission to practice as in-house counsel in the jurisdiction where located - Leadership skills and the ability to influence - Integrity and a high degree of professional ethics - Excellent judgement and analytical skills - Strong interpersonal and communication skills, including excellent, clear drafting - Ability to work efficiently and independently, prioritize workflow, and meet deadlines **Salary Information:** Salary is commensurate with experience. # Overview Morningstar, Inc., a leading global provider of independent investment research, is looking for a Senior Regional Counsel, Regulatory Strategy and Advisory to join its Global Regulatory Strategy and Advisory Team, Legal. This role will serve as a primary legal resource on identifying regulatory issues that may affect Morningstar’s North American operations and advise on how to proactively address them. This position directly reports to Global Head of Regulatory Strategy and Advisory, Legal and will be based in either New York, NY or Chicago, IL. # Job Responsibilities - Advise the business on regulatory strategy and risk, including with respect to regulatory matters associated with strategic initiatives and new business line development - Advise Compliance on the management of Morningstar’s regulatory compliance responsibilities and consulting with external parties, as appropriate - Serve as one of Morningstar’s contacts and negotiators with regulatory bodies - Advise on strategy for defending and settling any regulatory action or other related matters involving any of Morningstar’s regulated businesses - Assisting with formal examinations by a regulator, regulatory registrations, and written submissions in response to consultations from regulators, as necessary - Advise the Compliance Team in development and implementation of policies, guidelines and other documents pertaining to regulatory requirements applicable to Morningstar’s regulated businesses, as necessary - Develop and implement the training framework to build a high performing regulatory legal team that can support Morningstar’s regulated businesses as they continue to grow - Stay current on regulations and other changes in regulatory requirements that could impact Morningstar’s businesses # Qualifications - Law degree and qualified to practice in New York or Illinois, or other relevant US State - At least 8 years of financial services or securities law experience in a North American jurisdiction - Structured finance transactional experience, credit rating experience, or other financial services compliance/regulatory experience required - Experience in dealing with regulators is an advantage - Investment advisor and asset management regulatory experience is beneficial - Must be admitted to practice law or eligible for admission to practice as in-house counsel in the jurisdiction where located - Leadership skills and the ability to influence - Integrity and a high degree of professional ethics - Excellent judgement and analytical skills - Strong interpersonal and communication skills, including excellent, clear drafting - Ability to work efficiently and independently, prioritize workflow, and meet deadlines **Salary Information:** Salary is commensurate with experience. # Senior Regional Counsel, Regulatory Strategy and Advisory Morningstar, Inc., a leading global provider of independent investment research, is seeking an experienced specialist in the Global Regulatory Strategy and Advisory Team, Legal to serve as a primary legal resource on identifying regulatory issues that may affect Morningstar’s North American operations and advising on how to proactively address them. This role will directly report to Global Head of Regulatory Strategy and Advisory, Legal and will be based in either New York, NY or Chicago, IL. The successful candidate will have at least 8 years of
Qualification and Experience
Law Degree, 8 years of Financial Services or Securities Law experience, Qualified to practice in New York or Illinois
serving as one of morningstar’s contacts and negotiators with regulatory bodies
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