Compliance Analyst, Conflicts of interest, Global Controls

Morningstar Credit Ratings, LLC; Hinoba-an; Hybrid; PHP 3,755,000 - 5,632,000; Full time

Benefits offered by this job

Hybrid work model

4 days in-office per week

Job summary

Morningstar India Private Ltd. seeks a Conflicts of Interest Operations professional to monitor, document, and report on the firm’s conflict policies across regions. You will operate the global conflicts management system and support regulatory examinations.

The role requires collaboration with a global team, emphasis on documentation, and adherence to 4-days-in-office hybrid work structure. Bachelor’s degree and strong communication skills are essential.

Qualifications

• At least 1 year of experience in operations or in an operational business environment.
• Experience with control room functions, including preclearance of employee trades and management of restricted lists is an advantage.
• Background or experience in process automation or AI implementation is preferred.
• Good interpersonal skills to build and maintain internal/external relationships.

Responsibilities

• Follow standard operating procedures associated with the general operation of the global conflicts of interest compliance program.
• Monitor 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 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.
• 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.

Skills

Operations experience

Team collaboration

Communication skills

Education

Bachelor’s degree

Tools

Conflicts Management System

Job description

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.

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.
• 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.

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.

I10_MstarIndiaPvtLtd Morningstar India Private Ltd. (Delhi) 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.

Morningstar Development Program Morningstar is strongly committed to creating and preserving equal opportunity for all employees and applicants. 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.