Compliance Analyst, Conflicts of interest, Global Controls - Mumbai
The Team
Monitoring & Testing team is embedded in the Global Controls team, within the Compliance department. The team has global scope with members based in Europe, US and India. The Role
Morningstar is currently seeking a Compliance Associate to manage monitoring & testing program for our Wealth and Retirement business. Additionally, the Compliance Associate will carry out key monitoring activities within the scope of the general monitoring program. The successful candidate will have the ability to shape the role and have a meaningful impact on the entire Morningstar organization.
To assist in the responsibility, the Compliance Associate will interact with key stakeholders from Morningstar Wealth, Research and Retirement in various offices. This position is based in Mumbai and reports to the Lead of Monitoring and Testing Team for Morningstar Wealth and Research.
Responsibilities
As part of the Global Controls Team this person will
- Execute general monitoring and testing activities in-scope and ensure timely and effective execution of each of the activities.
- Ensure proper documentation of monitoring and testing results for all activities in-scope.
- Communicate results within Compliance and with key business stakeholders.
- Ensure completion of any follow-ups resulting from the general monitoring and testing activities.
- Identify opportunities for improvement and automation in order to execute the program more effectively and efficiently.
- Perform and ensure proper execution of activities including but not limited to Email Reviews, Methodology Development & Disclosure Review, etc.
- Monitoring and Testing reports associated with reviews of various nature.
- Assist with other key activities identified by the Monitoring and Testing Team for Morningstar Wealth, Research and Retirement.
Requirements
- Excellent command over the English language essential (written and verbal).
- 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.
- Strong sampling, 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 across multiple time zones.
- High degree of professionalism and integrity with demonstrated ability to handle confidential issues in a professional manner.
- Strong organizational and time management skills with the flexibility and willingness to respond to changing priorities.
- High level of attention to detail and problem-solving skills.
- A bachelor's degree is required.
- A degree in legal related fields or business administration is preferred. Compliance related professional certifications are recommended
I10_MstarIndiaPvtLtd Morningstar India Private Ltd. (Delhi) Legal Entity
Morningstar's hybrid work environment gives you the opportunity to work remotely and collaborate in-person each week. We've found that we're at our best when we're purposely together on a regular basis, at least three days 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.
