Compliance Associate

3 weeks ago

mumbai, India Morningstar Full time

Compliance Associate (eComm), Monitoring & Testing, Sustainalytics & Indexes

Role: Compliance Associate

Shift: General

No of Position: 2

The Team:

Monitoring & Testing team is embedded in the Global Controls team, within the Compliance department.

The Role: Morningstar is currently seeking a Compliance Associate to manage monitoring & testing program for our ESG (Sustainalytics) & Indexes business. The key responsibilities will be conducting Electronic Communications review. Additionally, the Compliance Associate will carry out other monitoring activities within the scope of the general monitoring program. The successful candidate will have the ability to shape the role and have a meaningful impact on the entire Morningstar organization. 

To assist in the responsibility, the Compliance Associate will interact with key stakeholders from Morningstar Sustainalytics and Indexes in various offices. This position is based in Mumbai, India and reports to the Lead of Monitoring and Testing Team for Morningstar Sustainalytics and Morningstar Indexes.

Responsibilities

As part of the Global Controls Team with eComm focus, this person will

Conduct Electronic Communications review to detect inappropriate communications, potential conflicts of interest, potential complaints, etc.

Additionally, this person will contribute to below functions

Execute general monitoring and testing activities in-scope and ensure timely and effective execution of each of the activities. Ensure proper documentation of monitoring and testing results for all activities in-scope. Communicate results within Compliance and with key business stakeholders. Ensure completion of any follow-ups resulting from the general monitoring and testing activities. Identify opportunities for improvement and automation in order to execute the program more effectively and efficiently. Perform and ensure proper execution of activities including but not limited to Methodology Development & Disclosure Review, etc. Monitoring and Testing reports associated with reviews of various nature. Assist with other key activities identified by the Monitoring and Testing Team for Morningstar Sustainalytics and Indexes

  Requirements

A minimum of 5 years of compliance related experience. Good knowledge of Environmental, Social and Governance (ESG) related regulations and/or Code of Conducts.  Experience in executing a comprehensive compliance monitoring or testing program. Experience drafting procedures and internal communications. Experience performing compliance reviews or testing, developing findings and recommendations. Prior experience and specialized knowledge in products and process pertaining to sustainable finance is a plus. Strong sampling, analytical and investigative skills. Good critical thinking and sound judgement skills. Strong interpersonal skills, with the ability to effectively influence and collaborate with diverse teams across multiple time zones. High degree of professionalism and integrity with demonstrated ability to handle confidential issues in a professional manner. Strong organizational and time management skills with the flexibility and willingness to respond to changing priorities. High level of attention to detail and problem-solving skills. A bachelor’s degree is required. A degree in finance, accounting, or economics and an advanced degree is preferred. Compliance related professional certifications are recommended.

Morningstar is an equal opportunity employer.

I02_MorningstarInvestmentResearchPrivateLimited Morningstar Investment Research Private Limited Legal Entity

Morningstar’s hybrid work environment gives you the opportunity to work remotely and collaborate in-person each week. We’ve found that we’re at our best when we’re 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, you’ll have tools and resources to engage meaningfully with your global colleagues.

  • Compliance Associate

    3 weeks ago

    Mumbai, India Morningstar Full time

    Compliance Associate (eComm), Monitoring & Testing, Sustainalytics & Indexes Role: Compliance Associate Shift: General No of Position: 2 The Team: Monitoring & Testing team is embedded in the Global Controls team, within the Compliance department. The Role: Morningstar is currently seeking a Compliance Associate to manage monitoring &...

  • Associate Compliance

    2 weeks ago

    Mumbai, Maharashtra, India tresvista financial services Full time

    Apply for Associate, Compliance, Career Progress Consultants in Mumbai ,Pune ,Bengaluru/ Bangalore for 3 - 5 Year of Experience on

  • Associate Compliance

    2 weeks ago

    Mumbai, India tresvista financial services Full time

    Apply for Associate, Compliance, Career Progress Consultants in Mumbai ,Pune ,Bengaluru/ Bangalore for 3 - 5 Year of Experience on TimesJobs.com.

  • Guest Service Associate

    17 hours ago

    Mumbai, Maharashtra, India MoSahay Associate Full time

    The **Guest Service Associate (GSA)** is responsible for providing exceptional customer service to guests, ensuring their stay is memorable and pleasant. The GSA will handle all aspects of guest check-in and check-out, answer inquiries, and manage reservations. A background in hotel management is essential to understand the operational and service-oriented...

  • Compliance Associate

    7 days ago

    Mumbai, India Morningstar Full time

    About the role: The Compliance Associate will report into the Global Head of Internal Controls, located in Compliance function of DBRSM. Job responsibilities: Main activity • Monitoring the emails / MS teams messages in order to comply with the Electronic Communications Global Policy Others • Execute general monitoring activities in-scope and ensure...

  • Corporate Compliance Associate

    4 weeks ago

    Mumbai, India Ares Management Full time

    Over the last 20 years, Ares’ success has been driven by our people and our culture. Today, our team is guided by our core values - Collaborative, Responsible, Entrepreneurial, Self-Aware, Trustworthy - and our purpose to be a catalyst for shared prosperity and a better future. Through our recruitment, career development and employee-focused programming,...

  • Compliance Audit Associate

    4 weeks ago

    Mumbai, India Third Bridge Full time

    Company Description - Third Bridge Connections provides private equity firms, hedge funds and strategy consultants with the information that they need to understand the value of their investment opportunities. - Our vision for delivering deep insight and unbiased market intelligence has evolved into a business with a range of complementary services, eight...

  • Associate-aml Kyc Compliance

    7 days ago

    Mumbai, India IDFC FIRST Bank Full time

    **Role/ Job Title**: Associate Compliance **Function/ Department**: Compliance **Location**: - Mumbai **Job Purpose**: The role entails the responsibility to support compliance manager in ensuring bank's policies and procedures comply with regulatory and ethical standards. **Primary Responsibilities**: Support all business operations relating to...

  • Sanctions Compliance

    7 days ago

    Mumbai, Maharashtra, India TIAA Full time

    Compliance Associate The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general...

  • Compliance Specialist

    4 weeks ago

    Mumbai, India Treelife Full time

    Position to be hired for Qualified Company Secretary - Associate/Sr. AssociateDepartment: ComplianceLocation: BKC, MumbaiJob Responsibilities:Assistance in compliance due diligence in Venture Capital transactionsReviewing Issue and Allotment documents for Securities on Rights Issue basis, Private placement, Buyback and Preferential Allotment Basis.FEMA...

  • Associate, Compliance

    3 days ago

    Mumbai, India Ares Management Corporation Full time

    Description Primary functions and responsibilities Conducting period reviews of existing customers, to confirm the information on file, reconfirm customers ownership structure, conduct PEP/negative news and sanctions check to ensure KYC completeness, accuracy and quality/readiness. Prepare documentation to support reviews conducted and to...

  • Compliance Specialist

    4 weeks ago

    Mumbai, India Treelife Full time

    Position to be hired for Qualified Company Secretary - Associate/Sr. AssociateDepartment: ComplianceLocation: BKC, MumbaiJob Responsibilities:Assistance in compliance due diligence in Venture Capital transactionsReviewing Issue and Allotment documents for Securities on Rights Issue basis, Private placement, Buyback and Preferential Allotment Basis.FEMA...

  • Associate, Compliance

    2 days ago

    mumbai, India Ares Management Corporation Full time

    Description Primary functions and responsibilities Conducting period reviews of existing customers, to confirm the information on file, reconfirm customers ownership structure, conduct PEP/negative news and sanctions check to ensure KYC completeness, accuracy and quality/readiness. Prepare documentation to support reviews conducted and...

  • Accounts/sales Associate

    4 weeks ago

    Mumbai, Maharashtra, India Zama Organics Full time

    **Company Overview**: Zama Organics is a leading player in the food industry, dedicated to providing high-quality culinary products and services to our customers. As we continue to expand our operations, we are seeking a talented and detail-oriented Accounts/Sales Associate to manage receivables and ensure compliance with regulatory requirements, including...

  • Associate, Compliance

    2 days ago

    Mumbai, Maharashtra, India Ares Management Full time

    Over the last 20 years, Ares’ success has been driven by our people and our culture. Today, our team is guided by our core values - Collaborative, Responsible, Entrepreneurial, Self-Aware, Trustworthy - and our purpose to be a catalyst for shared prosperity and a better future. Through our recruitment, career development and employee-focused programming,...

  • Compliance Auditor

    7 days ago

    Mumbai, India Fossgen Technologies Full time

    **Position**: Auditor Compliance **Work Location**: Mumbai **Experience**: 6+ years **Salary/CTC** - As per industry standard **Notice Period**: Immediate/1-month **Qualifications**: BE / BSc IT/ BSc Computer Science / BTech / ME / MTech facing internal & external ISO 20000 / ISO 27001 / ISO 22301 / ISO 9001 audits, measuring & monitoring process...

  • Compliance Specialist

    4 weeks ago

    Mumbai Metropolitan Region, India Treelife Full time

    Position to be hired for Qualified Company Secretary - Associate/Sr. Associate Department: Compliance Location: BKC, Mumbai Job Responsibilities: Assistance in compliance due diligence in Venture Capital transactions Reviewing Issue and Allotment documents for Securities on Rights Issue basis, Private placement, Buyback and Preferential Allotment Basis....

  • Compliance Specialist

    1 month ago

    Mumbai Metropolitan Region, India Treelife Full time

    Position to be hired for Qualified Company Secretary - Associate/Sr. AssociateDepartment: ComplianceLocation: BKC, MumbaiJob Responsibilities:Assistance in compliance due diligence in Venture Capital transactionsReviewing Issue and Allotment documents for Securities on Rights Issue basis, Private placement, Buyback and Preferential Allotment Basis.FEMA...

  • Compliance Officer

    4 weeks ago

    Mumbai, India GLOBAL SOLUTIONS Full time

    **POSITION: Compliance Mumbai** Interview : Skype (Kindly share your Skype ID) Location : Sakinaka Metro Mumbai **Mob: +91-6290142813** **Responsibilities**: 1. To handle Statutory HR Labour Compliance. Vendor management. 2. Responsible for Labour Law compliance at PAN India level. 3. Liasoning with labour authorities, regulatory bodies for licences...

  • Compliance Officer

    6 days ago

    Mumbai, India Consult Hagnos Full time

    Years of Experience: 6-8 years Qualification-: Qualified CS / LLB Work location: Lower Parel CTC - Best in Industry Job Description - Compliance Officer 1. Monitoring of SEBI (LODR) regulations, SEBI (NCS) regulations, Debenture Trustee regulations, Securitized Debt instruments, SEBI (Alternative Investment Fund) regulations, Companies Act, 2013,...