Compliance Analyst

Morningstar Credit Ratings, LLC; Mumbai; Hybrid; INR 900,000 - 1,300,000; Full time

Job summary

Morningstar Credit Ratings, LLC in Mumbai, India, seeks a Compliance Analyst in the Global Controls – Conflicts of Interest team to support Morningstar’s businesses and manage conflicts of interest globally.

The role monitors COI policy adherence, operates the Conflicts Management System, documents controls, and prepares reports. You’ll collaborate with a global team and assist with regulatory examinations; four days in-office weekly.

Qualifications

• At least 1 year in operations or roles associated with standardization or an operational business environment.
• Experience with control room functions, including preclearance of employee trades 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.

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.

Skills

Team collaboration

Communication skills

Analytical thinking

Process automation awareness

Securities knowledge

Education

Bachelor's degree

Job description

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 Morningstar is a global independent investment research and financial data company. Here, you'll help uncover what’s hidden, simplify what’s complex, and create insights that empower investor success.

Company overview

Morningstar Development Program

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We make all employment decisions—including recruitment, hiring, compensation, training, promotion, transfer, discipline, termination, and other personnel matters—without regard to race, color, ancestry, religion, sex, national origin, age, disability, protected veteran status, marital status, sexual orientation, genetic information, citizenship, gender identity and expression, parental status, or other legally protected characteristics or conduct.