Compliance Associate, Conflicts of interest, Global Controls

Morningstar · Mumbai

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The Role

Morningstar is seeking a Compliance Associate within the Global Controls – Conflicts of Interest (COI) team based in Mumbai India. The Compliance Associate 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

• Develop, implement and review operating procedures for 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.
• As required, effectively manage and supervise direct reports within the COI team (two direct reports initially)
• Administer the firm’s Conflicts Management System globally.
• Ensure proper documentation and record-keeping of associated controls.
• Support the Compliance Department in creating reports to Senior Management on a monthly, quarterly and annual basis.
• Work with the Compliance Department to develop, maintain and deliver compliance training and other materials.
• 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.

Qualifications

• At least 2 years’ experience in Compliance managing conflicts of interest functions and conducting regulatory analysis.
• Experience with control room functions, including preclearance of employee trades and management and use of restricted lists.
• Demonstrable experience in managing others or the ability to do so.
• Ability to work effectively in a team environment and adhere to business and workplace standards.
• Ability to conduct regulatory analysis, preparing memorandums and draft procedures.
• Background or experience in process automation or AI implementation is preferred.
• Experience interacting with employees at various levels of an organization.
• Highly developed interpersonal skills to build and maintain effective internal and external relationships.
• Strong communication skills (verbal and written).
• Strong analytical and investigative skills and sound judgment.
• Experience in development, implementation and monitoring adherence to corporate policies, procedures and other guidance documents.
• In-depth 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.

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