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Compliance Associate, Conflicts of interest, Global Controls

Morningstar·Mumbai

Pay not stated2–5 yrsFull-timeHybrid
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About the role

The Compliance Associate will support the COI team in the management of the conflicts of interest program supporting a variety of Morningstar businesses that may include our Wealth Research and Retirement businesses, Credit, Sustainalytics and Indexes.

What you'll do

  • Develop, implement and review operating procedures for the general operation of the global conflicts of interest compliance program
  • Take responsibility for monitoring compliance with the firm’s conflicts of interest policies, including securities trading
  • As required, effectively manage and supervise direct reports within the COI team (two direct reports initially)
  • Administer the firm’s Conflicts Management System globally
  • Ensure proper documentation and record-keeping of associated controls

What you need

  • 2–5 yrs of experience
  • Compliance
  • Documentation
  • Any graduate

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