Compliance Associate

Canada Legal Entity; Toronto; Hybrid; CAD 60,000 - 80,000; Full time

Job summary

A global compliance firm in Toronto is seeking a Compliance Associate to support its compliance program. The ideal candidate has a Bachelor's degree and experience in compliance or regulatory roles within financial services. Responsibilities include monitoring policies, reporting to management, and conducting compliance training. The company offers a hybrid work environment with various benefits to support flexibility.

Qualifications

• Experience in compliance or regulatory analysis in Financial Services, Accounting, or Legal professions.
• Ability to interact with various levels of personnel.
• Understanding of Control Room functions.

Responsibilities

• Develop and review compliance policies and procedures.
• Monitor compliance with conflicts of interest policies.
• Administer Conflicts Management System globally.
• Create reports for Senior Management.
• Deliver compliance training materials.
• Assist in regulatory examinations.

Skills

Interpersonal skills

Strong communication skills

Analytical skills

Regulatory analysis

Judgment

Education

Bachelor's degree

Job description

Overview

To support its Global Compliance Program Morningstar DBRS is seeking a Compliance Associate in its Toronto Office. The Compliance Associate is an integral part of the Compliance Program that addresses how the firm manages conflicts of interest. This role will be part of the Global Conflicts of Interest team. There are many instances where the employee will be asked to work on other lines of businesses and stretch projects this is the norm for the role.

Responsibilities

• Support the development implementation and regular review of policies and procedures for the general operation of the global compliance program within Morningstar DBRS
• Take responsibility for monitoring compliance with the firms conflicts of interest policies including securities trading gifts & entertainment and escalating issues to management as necessary.
• Administer Morningstar DBRS Conflicts Management System for staff globally.
• 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.

Qualifications

• Previous experience in compliance and / or regulatory analysis developed in Financial Services Accounting or Legal professions.
• 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 with Control Room functions including preclearance of employee trades and management and use of restricted lists.
• Experience in development implementation and monitoring adherence to corporate policies procedures and other guidance documents.
• Understanding of and / or professional experience with a credit rating business.
• Bachelors degree is required.

Benefits / Additional Information

Morningstars hybrid work environment gives you the opportunity to work remotely and collaborate in-person each week. Weve found that were at our best when were 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 youll have tools and resources to engage meaningfully with your global colleagues.

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