Compliance Analyst, Conflicts of Interest
Compliance Analyst, Conflicts of Interest
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Job Description
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 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.
Requirements
- 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 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 gives you the opportunity to work remotely and collaborate inperson each week. Weve found that were at our best when were 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 youll have tools and resources to engage meaningfully with your global colleagues.
I10MstarIndiaPvtLtd Morningstar India Private Ltd. (Delhi) Legal EntityRequired Experience:
IC
Employment Type
Full-Time
