Compliance Associate, Conflicts of interest, Global Controls

Morningstar Credit Ratings, LLC; Hinoba-an; Hybrid; PHP 528,000 - 726,000; Full time

Benefits offered by this job

Hybrid work model

Equal opportunity employer

Job summary

Morningstar India Private Ltd. is seeking a Compliance Associate to join the Global Controls – Conflicts of Interest (COI) team in Mumbai, India.

You will support the COI program across Wealth Research, Retirement, Credit, Sustainalytics and Indexes, ensuring adherence to policies and strong risk controls. The role involves developing procedures, monitoring compliance, supervising two direct reports, administering the COI system, and delivering monthly/quarterly/annual management reports.

Qualifications

• At least 2 years’ experience in Compliance managing conflicts of interest functions.
• Experience with control room functions and preclearance of employee trades.
• Ability to lead others and work effectively in a team.

Responsibilities

• Develop, implement and review procedures for the COI program.
• Monitor compliance with conflicts of interest policies and escalate as needed.
• Manage two direct reports and administer the Conflicts Management System.
• Prepare reports for Senior Management on a monthly, quarterly and annual basis.
• Deliver regulatory training and assist with examinations.
• Collaborate on multiple global projects; four days in-office weekly.

Skills

Compliance

Regulatory analysis

Team management

Interpersonal skills

Analytical skills

Communication skills

Education

Bachelor’s degree

Tools

Conflicts Management System

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

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.