Morningstar India
Morningstar India | Compliance Associate, Conflicts of interest, Global Controls
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Job Highlights
Job responsibilities
- Develop, implement and review operating procedures for the general operation of the global conflicts of interest compliance program.
- 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.
- 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.
- Administer the firm’s Conflicts Management System globally.
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.
About the company
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.
