Compliance Officer

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 Officer based in Mumbai reporting to the Manager of Conflicts of Interest, Global Controls based in India (Mumbai). The Compliance Officer 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 interest controls within the scope of the global conflicts of interest team.

Responsibilities

The Compliance Officer will be expected to

Develop, implement and review operating procedures for the general operation of the global conflicts of interest compliance program within Wealth Research Retirement business.

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 for Wealth Research Retirement globally.

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.

Interact with employees at various levels of an organization on sensitive matters.

Requirements

A minimum of 5 years’ experience in compliance and / or regulatory analysis developed in Financial Services, Accounting or Legal professions.

A minimum of 2 years’ experience with Control Room functions, including preclearance of employee trades and management and use of restricted lists.

Bachelor’s degree in Finance, Accounting, Commerce or Business Administration is required.

Completion of a professional examination conducted by ICAI, ICMA or ICSI, or post graduate degree / post graduate diploma is a plus.

Experience in development, implementation and monitoring adherence to corporate policies, procedures and other guidance documents.

Experience in project management of regulatory projects (SOP development experience is essential).

Proficiency with Excel required (advanced level).

Ability work under tight deadlines and manage multiple projects concurrently in conjunction with the Compliance team.

Strong organizational and communication skills (verbal and written).

Strong analytical and investigative skills.

Excellent command over the English language essential (written and verbal).

Highly developed interpersonal skills with the ability to develop and maintain effective relationships with diverse teams and across multiple time zones. Morningstar is an equal opportunity employer.

Morningstar is an equal opportunity employer.

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.

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