Morningstar India | Compliance Analyst

Job responsibilities

• 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.
• Compliance Analyst, Conflicts of interest, Global Controls.
• 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.
• Collaborate with a global team on multiple projects.
• 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.

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.

Morningstar

Morningstar, Inc. is a leading provider of independent investment research and data, headquartered in Chicago and operating through subsidiaries in more than 30 countries with over 40 offices worldwide. It serves individual investors, financial advisers and wealth managers, asset managers, retirement plan providers and institutional investors with data, analytics and research (Morningstar Direct, Morningstar Investor, PitchBook for private markets, Sustainalytics for ESG research), credit ratings through Morningstar DBRS, Morningstar Indexes, and investment management and retirement services.

Morningstar India Private Limited, based in Vashi, Navi Mumbai, is a major data, research, technology and operations centre for the group — Morningstar counts India as one of its four regions alongside the Americas, EMEA and Asia-Pacific — and has been certified as a Great Place to Work for ten consecutive years. Its Mumbai teams work in managed-investment and equity data, equity and manager research, index management and operations, credit and ESG research, product development, client service and corporate finance — work that suits CA, CFA, MBA (Finance), M.Com and B.Com profiles as well as quantitative and research specialists.

• Industry: Financial services — independent investment research, data, indexes and credit ratings
• Headquarters: Chicago, Illinois, USA
• In India: Morningstar India Private Limited, Vashi, Navi Mumbai (Vishwaroop IT Park) and Mumbai (Platinum Park)