Compliance Associate
2 months ago
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
Others
- Execute general monitoring activities in-scope and ensure timely and effective execution of each of the activities.
- Ensure proper documentation of monitoring results for all monitoring activities in-scope.
- Communicate results within Compliance and with key business stakeholders.
- Ensure completion of any follow-ups resulting from the general monitoring activities.
- Identify opportunities for improvement and automation in order to execute the program more effectively and efficiently.
Qualifications:
- 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.
Nice to have:
- 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 the credit ratings business is a plus.
- Strong 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.
- High degree of professionalism and integrity with demonstrated ability to handle confidential issues in a professional manner.
Morningstar is an equal opportunity employer
R11_DBRSRatingsGmbHIndia DBRS Ratings GmbH, Branch India 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.
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