COI Compliance Analyst

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 Head of Conflicts of Interest, Global Controls based in Paris (France). The Compliance Analyst will support the Conflicts of Interest team in the management of the conflicts of interest program. The successful candidate will operate the conflicts of interest 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.
• 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 including the processing of transactions and holdings.
• 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.
• Ability to work with a global team and interact with employees at various levels of an organization.

Requirements

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

Skills Required

Compliance, regulatory analysis, Excel