Compliance Analyst

Compliance Analyst, Conflicts of interest, Global Controls – Mumbai
 

The Team

Morningstar’s Conflicts of Interest team is part of the Global Control function within the Compliance department and an integral part of the Compliance program that addresses how the firm manages conflicts of interest. The broader team has global scope with members based in and/or supporting EMEA, North America and APAC.
 

The Role

Morningstar is seeking a Compliance Analyst within the Global Controls – Conflicts of Interest (COI) team based in Mumbai India. The Compliance Analyst will support the COI team in the management of the conflicts of interest program supporting a variety of Morningstar businesses that may include our Wealth Research and Retirement businesses, Credit, Sustainalytics and Indexes.
 

Job Responsibilities

• Follow standard operating procedures associated with the general operation of the global conflicts of interest compliance program.

• Take responsibility for monitoring compliance with the firm’s conflicts of interest policies, including securities trading, gifts & entertainment and escalating issues to management as necessary.

• Operate the firm’s Conflicts Management System globally.

• Ensure proper documentation and record-keeping of associated controls.

• Support the Compliance Department in creating reports as directed on a monthly, quarterly and annual basis.

• Work with the Compliance Department to develop, maintain and deliver compliance training and other materials.

• As directed assist with the preparation for, and conduct of, regulatory examinations.

• Collaborate with a global team on multiple projects.

• 4 days a week in office attendance required.
 

Qualifications

• At least 1 years’ experience in operations, roles associated with standardization or experience in an operational business environment.

• Experience with control room functions, including preclearance of employee trades and management and use of restricted lists would be an advantage.

• Ability to work effectively in a team environment and adhere to business and workplace standards.

• Background or experience in process automation or AI implementation is preferred.

• Good interpersonal skills to build and maintain effective internal and external relationships.

• Strong communication skills (verbal and written).

• Strong sound judgment and a mature workplace attitude.

• Experience in working with corporate policies, procedures and other guidance documents.

• Knowledge of securities and the finance industry.

• Bachelor’s degree is required.

Morningstar is an equal opportunity employer.

Morningstar's hybrid work environment gives you the opportunity to collaborate in-person each week as we've found that we're at our best when we're purposely together on a regular basis. In most of our locations, our hybrid work model is four days in-office 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.

R11_DBRSRatingsGmbHIndia DBRS Ratings GmbH, Branch India Legal Entity