Compliance Associate

Job Description

Compliance Associate, 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 firms manage conflicts of interest. The team has global scope with members based in Europe, Canada and India.

The Role

Morningstar is seeking a Compliance Associate based in Mumbai reporting to the Manager of Conflicts of Interest, Global Controls based in India (Mumbai). The Compliance Associate will support the Conflicts of Interest team in the management of the conflicts of interest program that include  our Wealth Research and Retirement businesses, Sustainalytics and Indexes. The successful candidate will operate the conflicts of interest controls within the scope of the global conflicts of interest team.

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.

• 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 or as directed.

Qualifications

• At least 2 years’ experience in Compliance managing conflicts of interest and conducting regulatory analysis.

• Experience with Control Room functions, including preclearance of employee trades and management and use of restricted lists.

• Ability to conduct regulatory analysis, preparing memorandums and drafting 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

• 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.

• Bachelors 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.