Compliance Associate, Conflicts of interest, Global Controls

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

Benefits offered by this job

Equal opportunity employer

Hybrid work model

4 days in-office per week

Job summary

Morningstar in Mumbai seeks a Compliance Associate to join Global Controls - Conflicts of Interest. You will support COI program operations across multiple Morningstar businesses, ensuring adherence to policies and effective controls.

The role involves developing procedures, monitoring compliance, supervising two direct reports, and preparing reports for senior management. Hybrid work arrangement requires four days in office weekly.

Qualifications

• 2+ years’ experience in compliance managing conflicts of interest functions.
• 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.

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.

Skills

Regulatory analysis

Team collaboration

Communication skills

Interpersonal skills

Attention to detail

Education

Bachelor’s degree

Tools

Trade preclearance system

Conflicts of interest controls

Job description

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.

I10_MstarIndiaPvtLtd Morningstar India Private Ltd. (Delhi) Legal Entity