The Team: 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 part-time (2 days per week) Compliance Analyst to ensure the businesses within the Morningstar Australasia group meet their corporate governance, regulatory, and compliance obligations. The person in this role with work closely with the CFO in partnership with our management, operations, funds management and research teams; this role will be based in our Sydney office.
+ Develop and maintain the legal, compliance, and risk management policies, which will include acting as a liaison with external responsible entities as required.
+ Ensure the CompliSpace compliance and risk management applications are maintained and effectively utilized within the business.
+ Ensure regulatory requirements (e.g. ASIC, FSC) are met and breaches are reported to the Morningstar and Ibbotson board, notify entity boards and regulators as required.
+ Maintain and oversee the services provided by legal service providers.
+ Perform company secretary functions for the Morningstar group of companies including setting agendas and recording minutes.
+ Review ASIC and other regulatory forms and reports, which will include preparation of regulatory forms for the AFSL licensed entities.
+ Strong organization 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.
+ An understanding of business processes and internal controls.
+ An 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 opportunity employer.