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.

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