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Regulatory Counsel

Company: Morningstar
Location: New York
Posted on: November 23, 2020

Job Description:

DBRS Morningstar is seeking a regulatory lawyer to be based in New York or Chicago. The successful candidate will have experience in securities or financial services regulation, including experience in developing and managing regulatory and compliance strategies, monitoring regulatory developments, and interfacing with regulators. Experience in credit rating agency regulation or structured finance is preferred. The position will involve interaction with management at all levels, including regular interaction with domestic and international business and compliance teams. This role reports to the Global Regulatory Counsel as part of a small team and will work in concert with the Global Regulatory Counsel.

Responsibilities


  • Providing legal support to business initiatives. For example, negotiating and advising on strategic initiatives and transactions, regulatory and governance matters
  • Providing legal advice and counsel regarding the laws and regulations governing registered credit rating agencies in the jurisdictions in which DBRS Morningstar operates (currently, the United States, Canada, and Europe)
  • Assisting the Compliance team in the course of regulatory examinations
  • Providing support in devising strategy for defending and settling any regulatory action or other related matters, and assisting with responses to regulatory correspondence
  • Effectively interfacing with regulators and other government representatives, when appropriate
  • Working closely with the Compliance team to ensure proper management of legal compliance and regulatory responsibilities and consulting with external parties as appropriate
  • Effectively retaining and managing outside legal counsel when appropriate
  • Keeping abreast of legal and regulatory developments, particularly those affecting the credit rating agency industry
  • While the focus is Morningstar, Inc.'s credit rating business, responsibilities may include providing legal counsel and support in other of Morningstar, Inc.'s regulated activities, such as in areas of investment management and advising

    Qualifications

    • Law degree
    • At least 6 years of financial services or securities law experience
    • 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

      Attributes:

      • 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
      • Ability to work efficiently and independently, prioritize workflow, and meet deadlines

        About Us

        DBRS Morningstar is a global credit ratings business, currently with 700 employees in eight offices globally. Formed through the July 2019 acquisition of DBRS by Morningstar, Inc., the ratings business is the fourth-largest provider of credit ratings in the world.

        DBRS Morningstar is committed to empowering investor success, serving the market through leading-edge technology and raising the bar for the industry. DBRS Morningstar is a market leader in Canada, the U.S. and Europe in multiple asset classes.

        DBRS Morningstar rates more than 2,600 issuers and 54,000 securities worldwide and is driven to bringing more clarity, diversity of opinion, and responsiveness to the ratings process. DBRS Morningstar's approach and size provide the agility to respond to customers' needs, while being large enough to provide the necessary expertise and resources.

Keywords: Morningstar, New York , Regulatory Counsel, Legal , New York, New York

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