Compliance Analyst

Overview

Compliance Analyst within the Global Controls Conflicts of Interest (COI) team, supporting the management of the firm's conflicts of interest program across Morningstar businesses based in Mumbai, India.

What you'll do

• Follow standard operating procedures for the general operation of the global conflicts of interest compliance program.
• Monitor compliance with the firm's conflicts of interest policies, including securities trading and gifts & entertainment, and escalate 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.
• Assist with the preparation for, and conduct of, regulatory examinations as directed.
• Collaborate with a global team on multiple projects.

What you'll need

• At least 1 year of experience in operations, roles associated with standardization, or an operational business environment.
• Ability to work effectively in a team environment and adhere to business and workplace standards.
• 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 working with corporate policies, procedures and other guidance documents.
• Knowledge of securities and the finance industry.
• Bachelor's degree is required.

Nice to have

• Experience with control room functions, including preclearance of employee trades and management and use of restricted lists.
• Background or experience in process automation or AI implementation.

Details

• Location: Mumbai, India.
• Work mode: four days a week in-office attendance required.