Compliance Director, Asia

About the Role

Morningstar requires a detail driven and passionate Compliance Director, Asia, to lead a small team and be responsible for structuring, maintaining and executing an effective compliance program for the business in Asia. This role will have a primary focus on supporting the business team with implementing a robust compliance program during a period of growth as the business expands its activities. The role is responsible for managing compliance staff in Asia (ex Japan). We are a small team in Asia and are looking for an individual who is able to think strategically and effectively manage the team and workload well, but yet be “hands on” and be willing to do a variety of work, interacting with personnel at all levels from across Asia offices. There may be occasional travel to regional offices in Asia. This position reports to the Global Chief Compliance Officer – Investment, Research and Data and is based in Singapore.

Morningstar is an Equal Opportunity Employer.

Job Responsibilities

• Work with Compliance colleagues in implementing, administering, and maintaining the compliance program; ensuring management and employees are in compliance with the applicable regulations and that policies and procedures are being followed.
• Manage, mentor and develop compliance staff in Asia.
• Manage relationships with regulators, clients and external advisers on compliance issues impacting the business.
• Provide advice to employees on compliance and/or regulatory matters.
• Develop new or updated policies and procedures to ensure ongoing compliance with regulatory requirements applicable to business unit.
• Manage compliance monitoring activities and risk and compliance reviews of activities to ensure compliance with policies and procedures.
• Oversight and assisting compliance teams in Asia.
• Manage regulatory filings and responses to regulatory examinations on behalf of relevant business units.
• Working with Morningstar risk, assist on implementing, maintaining and refining the risk management frameworks for Asia.

Qualifications & experience required:

• A bachelor’s degree in law, finance, accounting, economics or a related field is required.
• At least 10 years compliance experience within the financial services industry regulated by the SFC or MAS.
• Knowledge of laws and regulations applicable to Morningstar’s business in Asia (particularly the Singapore MAS and Hong Kong SFC). Knowledge of financial services laws and regulations in PRC highly desirable.
• English essential and Mandarin preferred language skills.
• High degree of professionalism and integrity with demonstrated ability to handle confidential issues in a professional manner.
• Demonstrates sound judgement.
• Ability to apply consistently and display a measured and mature approach in critical thinking by being able to independently assemble, evaluate and apply logical reasoning to information.
• Significant experience drafting policies, and procedures.
• Ability to communicate clearly and in a manner proper to the audience in order to inform and/or persuade others; requires the ability to advise, guide, advocate and negotiate in a manner that instils confidence.
• Significant experience managing and performing compliance reviews, developing findings and recommendations.
• Strong organizational and project management skills with the flexibility and willingness to respond to changing priorities.
• Risk management experience desirable.

Morningstar’s hybrid work environment gives you the opportunity to work remotely and collaborate in-person each week. We’ve found that we’re at our best when we’re purposely together on a regular basis, at least three days each week. A range of other benefits are also available to enhance flexibility as needs change. No matter where you are, you’ll have tools and resources to engage meaningfully with your global colleagues.