The Compliance Analyst will manage compliance with conflicts of interest policies, administer the Conflicts Management System, support regulatory exams, and deliver compliance training.
Compliance Analyst, Conflicts of interest, Global Controls - Mumbai 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 firms manages conflicts of interests. The team has global scope with members based in Europe, Canada and India.
The Role
Morningstar is seeking a Compliance Analyst based in Mumbai reporting to the Manager of Conflicts of Interest, Global Controls based in India (Mumbai). The Compliance Analyst will support the Conflicts of Interest team in the management of the conflicts of interest program for our Wealth Research Retirement business. The successful candidate will operate the conflicts of inter-est controls within the scope of the global conflicts of interest team.
Responsibilities
The Compliance Analyst will be expected to• Support the implementation of operating procedures for the general operation of the global conflicts of interest compliance program within Wealth Research Retirement.• Monitor compliance with the firm's conflicts of interest policies, including securities trading, gifts & entertainment and escalate issues to management as necessary.• Administer the firm's Conflicts Management System for Wealth Research Retirement globally.• Document and keep records 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.• Ability to work with a global team and interact with employees at various levels of an organization.
Requirements• A minimum of 2 years' experience in compliance and/or regulatory analysis devel-oped in Financial Services, Accounting or Legal professions.• Prior experience with Control Room functions, including preclearance of employee trades and management and use of restricted lists, is a plus.• Bachelor's degree in Finance, Accounting, Commerce or Business Administration.• Proficiency with Excel.• Experience in implementation and monitoring adherence to corporate policies, proce-dures and other guidance documents.• Ability to manage multiple projects concurrently in conjunction with the Compliance team.• A team player with positive and proactive attitude.• Strong organizational and communication skills (verbal and written).• Excellent command over the English language essential (written and verbal).• Strong analytical and investigative skills.
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'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 firms manages conflicts of interests. The team has global scope with members based in Europe, Canada and India.
The Role
Morningstar is seeking a Compliance Analyst based in Mumbai reporting to the Manager of Conflicts of Interest, Global Controls based in India (Mumbai). The Compliance Analyst will support the Conflicts of Interest team in the management of the conflicts of interest program for our Wealth Research Retirement business. The successful candidate will operate the conflicts of inter-est controls within the scope of the global conflicts of interest team.
Responsibilities
The Compliance Analyst will be expected to• Support the implementation of operating procedures for the general operation of the global conflicts of interest compliance program within Wealth Research Retirement.• Monitor compliance with the firm's conflicts of interest policies, including securities trading, gifts & entertainment and escalate issues to management as necessary.• Administer the firm's Conflicts Management System for Wealth Research Retirement globally.• Document and keep records 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.• Ability to work with a global team and interact with employees at various levels of an organization.
Requirements• A minimum of 2 years' experience in compliance and/or regulatory analysis devel-oped in Financial Services, Accounting or Legal professions.• Prior experience with Control Room functions, including preclearance of employee trades and management and use of restricted lists, is a plus.• Bachelor's degree in Finance, Accounting, Commerce or Business Administration.• Proficiency with Excel.• Experience in implementation and monitoring adherence to corporate policies, proce-dures and other guidance documents.• Ability to manage multiple projects concurrently in conjunction with the Compliance team.• A team player with positive and proactive attitude.• Strong organizational and communication skills (verbal and written).• Excellent command over the English language essential (written and verbal).• Strong analytical and investigative skills.
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
Top Skills
Excel
Similar Jobs at Morningstar
Enterprise Web • Fintech • Financial Services
As a Customer Support Specialist, you will manage user provisioning requests while communicating with clients and internal teams, focusing on timely and efficient service.
Top Skills:
ExcelMicrosoft SuiteSalesforce
Enterprise Web • Fintech • Financial Services
The Finance Analyst manages revenue and expense processes, ensuring accurate reporting and compliance, while providing analytical support for decision-making.
Top Skills:
Erp Systems (OracleExcelIfrsSap)
Enterprise Web • Fintech • Financial Services
The role involves enhancing security features in applications, developing secure code, mentoring juniors, and collaborating in Agile teams. Requires full stack experience.
Top Skills:
.Net Core.Net FrameworkAngularAzureCosmosRavenReactRestSQLVue
What you need to know about the Pune Tech Scene
Once a far-out concept, AI is now a tangible force reshaping industries and economies worldwide. While its adoption will automate some roles, AI has created more jobs than it has displaced, with an expected 97 million new roles to be created in the coming years. This is especially true in cities like Pune, which is emerging as a hub for companies eager to leverage this technology to develop solutions that simplify and improve lives in sectors such as education, healthcare, finance, e-commerce and more.
