The Role:

This role sits within Morningstar Sustainalytics. As a Compliance Manager, you will be responsible for supporting the Compliance Programs for Morningstar’s Sustainalytics ESG business. This is a position based in our office in Toronto (or Madrid) and reports to the Chief Compliance Officer (“CCO”) for Sustainalytics (based in London).

Given the current market and regulatory environment, many rules and regulations have been enacted around the globe, and these continue to be updated. This role will be part of the Global Compliance team – with other members working in New York, Amsterdam, Timisoara, Madrid and Mumbai.

We are looking for someone based in Toronto. We are operating in a hybrid environment where we are in office 3 days/week. We will be shifting to 4 days/week in 2026.

Responsibilities:

In this role, the successful candidate will have the ability to shape the role and have a meaningful impact. The Compliance Manager will be expected to do the following:

• Support the implementation and maintenance of the global compliance program to ensure alignment with relevant regulatory requirements.
• Provide timely advice and guidance to employees on conduct and compliance matters, including identifying and addressing areas of vulnerability and risk, based on compliance reviews.
• Monitor, assess, and report on existing and emerging compliance risks, issues, and trends to the Chief Compliance Officer.
• Implement and maintain standard procedures for the intake, investigation, escalation, and resolution of potential compliance-related incidents, including anonymous reports and third-party complaints.
• Maintain accurate records of reported incidents, investigations, and outcomes, ensuring consistency and transparency in documentation.
• Assist in preparing for and participating in regulatory examinations, audits, and inquiries.
• Contribute to the continuous improvement of the global compliance program by sharing best practices, lessons learned, and subject matter expertise.
• Support the development, delivery, and maintenance of compliance training and awareness materials.
• Collaborate effectively with compliance colleagues, internal control functions, and business management to foster a strong compliance culture.

Qualifications:

• 5+ years of experience in compliance / regulatory control processes developed in Compliance, Internal Audit or Legal within Financial Services
• Experience in designing and implementing compliance / regulatory policies and procedures
• Experience in managing complex compliance projects
• Advanced communication skills (verbal and written) to report regulatory compliance information
• Strong analytical and investigative skills and sound judgment
• Highly developed interpersonal skills to build and maintain effective internal and external relationships
• Understanding/experience of ESG businesses would be an advantage
• A bachelor’s degree is required

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.

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