Compliance Analyst, Conflicts of Interest

As a Compliance Analyst at Morningstar India Private Ltd., your role will involve the following responsibilities:

• Support the implementation of operating procedures for the general operation of the global conflicts of interest compliance program.
• Monitor compliance with the firms conflicts of interest policies, including securities trading, gifts & entertainment and escalate issues to management as necessary.
• Administer the firms 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.

Qualifications required for this role include:

• A minimum of 2 years experience in compliance and/or regulatory analysis developed in Financial Services, Accounting or Legal professions.
• Prior experience with Control Room functions, including preclearance of employee trades and management and use of restricted lists, is a plus.
• Bachelors degree in Finance, Accounting, Commerce or Business Administration.
• Proficiency with Excel.
• Experience in implementation and monitoring adherence to corporate policies, procedures and other guidance documents.
• Ability to manage multiple projects concurrently in conjunction with the Compliance team.
• A team player with a positive and proactive attitude.
• Strong organizational and communication skills (verbal and written).
• Excellent command over the English language essential (written and verbal).
• Strong analytical and investigative skills.

Morningstar is an equal opportunity employer. Morningstars hybrid work environment allows for remote work with in-person collaboration at least three days each week. Various other benefits are also available to enhance flexibility as needs change. Tools and resources will be provided to engage meaningfully with global colleagues. As a Compliance Analyst at Morningstar India Private Ltd., your role will involve the following responsibilities:

• Support the implementation of operating procedures for the general operation of the global conflicts of interest compliance program.
• Monitor compliance with the firms conflicts of interest policies, including securities trading, gifts & entertainment and escalate issues to management as necessary.
• Administer the firms 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.

Qualifications required for this role include:

• A minimum of 2 years experience in compliance and/or regulatory analysis developed in Financial Services, Accounting or Legal professions.
• Prior experience with Control Room functions, including preclearance of employee trades and management and use of restricted lists, is a plus.
• Bachelors degree in Finance, Accounting, Commerce or Business Administration.
• Proficiency with Excel.
• Experience in implementation and monitoring adherence to corporate policies, procedures and other guidance documents.
• Ability to manage multiple projects concurrently in conjunction with the Compliance team.
• A team player with a positive and proactive attitude.
• Strong organizational and communication skills (verbal and written).
• Excellent command over the English language essential (written and verbal).
• Strong analytical and investigative skills.

Morningstar is an equal opportunity employer. Morningstars hybrid work environment allows for remote work with in-person collaboration at least three days each week. Various other benefits are also available to enhance flexibility as needs change. Tools and resources will be provided to engage meaningfully with global colleagues.