The Compliance Associate will monitor electronic communications, execute monitoring activities, document results, and communicate findings while identifying improvement opportunities.
About the role: The Compliance Associate will be joining the Global Internal Controls - Monitoring and testing team, located in Compliance function of DBRSM.
Job responsibilities: Main activity• Monitoring the emails / MS teams messages in order to comply with the Electronic Communications Global Policy
Others• Execute general monitoring activities in-scope and ensure timely and effective execution of each of the activities.• Ensure proper documentation of monitoring results for all monitoring activities in-scope.• Communicate results within Compliance and with key business stakeholders.• Ensure completion of any follow-ups resulting from the general monitoring activities.• Identify opportunities for improvement and automation in order to execute the program more effectively and efficiently.
Qualifications: • A bachelor's degree is required.• A degree in finance, accounting, or economics and an advanced degree is preferred. Compliance related professional certifications are recommended.
Nice to have: • Experience in executing a comprehensive compliance monitoring or testing program.• Experience drafting procedures and internal communications.• Experience performing compliance reviews or testing, developing findings and recommendations• Prior experience and specialized knowledge in products and process pertaining to the credit ratings business is a plus.• Strong analytical and investigative skills.• Good critical thinking and sound judgement skills.• Strong interpersonal skills, with the ability to effectively influence and collaborate with diverse teams.• High degree of professionalism and integrity with demonstrated ability to handle confidential issues in a professional manner.
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.
R11_DBRSRatingsGmbHIndia DBRS Ratings GmbH, Branch India Legal Entity
Job responsibilities: Main activity• Monitoring the emails / MS teams messages in order to comply with the Electronic Communications Global Policy
Others• Execute general monitoring activities in-scope and ensure timely and effective execution of each of the activities.• Ensure proper documentation of monitoring results for all monitoring activities in-scope.• Communicate results within Compliance and with key business stakeholders.• Ensure completion of any follow-ups resulting from the general monitoring activities.• Identify opportunities for improvement and automation in order to execute the program more effectively and efficiently.
Qualifications: • A bachelor's degree is required.• A degree in finance, accounting, or economics and an advanced degree is preferred. Compliance related professional certifications are recommended.
Nice to have: • Experience in executing a comprehensive compliance monitoring or testing program.• Experience drafting procedures and internal communications.• Experience performing compliance reviews or testing, developing findings and recommendations• Prior experience and specialized knowledge in products and process pertaining to the credit ratings business is a plus.• Strong analytical and investigative skills.• Good critical thinking and sound judgement skills.• Strong interpersonal skills, with the ability to effectively influence and collaborate with diverse teams.• High degree of professionalism and integrity with demonstrated ability to handle confidential issues in a professional manner.
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.
R11_DBRSRatingsGmbHIndia DBRS Ratings GmbH, Branch India Legal Entity
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