Compliance Manager

Position  : Compliance Manager

The Role :  The position provides compliance support for Mumbai-based staff who perform credit rating analysis, data, criteria or model - related work in support of Morningstar DBRS Credit Ratings. Morningstar DBRS India is a branch of DBRS Ratings GmbH and this position reports to the Regional Compliance Officer for EU.

Responsibilities :

• Responsible for assisting the Regional Compliance Officer for EU in his administration of the firm s compliance program.
• Responsible for providing compliance advisory support for Mumbai-based staff and maintaining strong relationships with key business stakeholders
• Perform monitoring / surveillance activities as assigned by the Regional Compliance Officer for EU or other relevant Compliance Officers.
• Assist with compiling regulatory filings within a timeframe prescribed by the Regional Compliance Officer for EU
• Perform tasks or projects as assigned by the Regional Compliance Officer for EU or other relevant Compliance Officers.
• Assist in the development, implementation and maintenance of the compliance policies and procedures, in particular, for Mumbai-based staff working / supporting Morningstar DBRS credit ratings
• Assist in conducting trainings sessions relating to regulatory and compliance matters.

Requirements :

Experience, Skills and Knowledge :

The preferred qualifications of an ideal candidate include :

Skills Required

Internal Controls, Compliance, Audit, regulatory filings, Communication, Ms Office