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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: This position is a full-time role and the salary is competitive. ## Senior Regional Counsel, Regulatory Strategy and Advisory **Job Overview** Morningstar, Inc., a leading global provider of independent investment research, is looking for a Senior Regional Counsel to join its Global Regulatory Strategy and Advisory Team. This position will be a primary legal resource on identifying regulatory issues that may affect Morningstar’s North American operations and advising on how to proactively address them. The role will report to the Global Head of Regulatory Strategy and Advisory, Legal. **Job Responsibilities** - Advising the business on regulatory strategy and risk, including with respect to regulatory matters associated with strategic initiatives and new business line development. - Advising Compliance on the management of Morningstar’s regulatory compliance responsibilities and consulting with external parties, as appropriate. - Serving as one of Morningstar’s contacts and negotiators with regulatory bodies. - Advising 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. - Advising 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. - Developing and implementing the training framework to build a high performing regulatory legal team that can support Morningstar’s regulated businesses as they continue to grow. - Staying 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** This position is a full-time role and the salary is competitive. **Overview of Morningstar, Inc.** Morningstar, Inc. is a leading global provider of independent investment research. The company has over 12,000+ employees working in wholly owned subsidiaries in 32 countries. The Legal and Compliance team consists of lawyers, compliance specialists and other professionals across the globe who bring to the team various kinds of expertise. On the legal side, the team has commercial, regulatory, M&A, SEC compliance, corporate governance, privacy and employment expertise in-house as well as broad-based international legal experience to support the company’s operations. The Compliance team has expertise in overseeing the compliance processes and practices of regulated credit ratings, investment management, investment research and benchmark administration businesses. The Legal Department coordinates and oversees Morningstar’s use of external counsel around the world. **Job Opportunity - Senior Regional Counsel, Regulatory Strategy and Advisory** Morningstar, Inc., a leading global provider of independent investment research, is looking for a Senior Regional Counsel to join its Global Regulatory Strategy and Advisory Team. This position will be a primary legal resource on identifying regulatory issues that may affect Morningstar’s North American operations and advising on how to proactively address them. The role will report to the Global Head of Regulatory Strategy and Advisory, Legal. **Job Responsibilities** - Advising the business on regulatory strategy and risk, including with respect to regulatory matters associated with strategic initiatives and new business line development. - Advising Compliance on the management of Morningstar’s regulatory compliance responsibilities and consulting with external parties, as appropriate. - Serving as one of Morningstar’s contacts and negotiators with regulatory bodies. - Advising 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. - Advising 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. - Developing and implementing the training framework to build a high performing regulatory legal team that can support Morningstar’s regulated businesses as they continue to grow. - Staying 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
serving as one of morningstar’s contacts and negotiators with regulatory bodies
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