This job is with Morningstar, an inclusive employer and a member of myGwork – the largest global platform for the LGBTQ business community. Please do not contact the recruiter directly. The Role Morningstar is seeking a Compliance Associate within the Global Controls - Conflicts of Interest (COI) team based in Mumbai India. 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. Job Responsibilities 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, gifts & entertainment and escalating issues to management as necessary. 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. 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. Assist with the preparation for, and conduct of, regulatory examinations. Collaborate with a global team on multiple projects. 4 days a week in office attendance. Qualifications At least 2 years' experience in Compliance managing conflicts of interest functions and conducting regulatory analysis. Experience with control room functions, including preclearance of employee trades and management and use of restricted lists. Demonstrable experience in managing others or the ability to do so. Ability to work effectively in a team workplace and adhere to business and workplace standards. Ability to

📌 Compliance Associate, Conflicts of interest, Global Controls (Mumbai)
🏢 Morningstar
📍 Mumbai