Compliance Analyst, Conflicts of interest, Global Controls – Mumbai

The Team
Morningstar’s Conflicts of Interest team is part of the Global Control function within the Compliance department and an integral part of the Compliance program that addresses how the firm manages conflicts of interest. The broader team has global scope with members based in and/or supporting EMEA, North America and APAC.

The Role
Morningstar is seeking a Compliance Analyst within the Global Controls – Conflicts of Interest (COI) team based in Mumbai India. The Compliance Analyst 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
• Follow standard operating procedures associated with 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.
• Operate the firm’s Conflicts Management System globally.
• Ensure proper documentation and record-keeping of associated controls.
• Support the Compliance Department in creating reports as directed on a monthly, quarterly and annual basis.
• Work with the Compliance Department to develop, maintain and deliver compliance training and other materials.
• As directed 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 required.

Qualifications
• At least 1 years’ experience in operations, roles associated with standardization or experience in an operational business workplace.
• Experience with control room functions, including preclearance of employee trades and management and use of restricted lists would be an advantage.
• Abilit

📌 Compliance Analyst (Mumbai)
🏢 R11 DBRSRatingsIndia DBRS Ratings , Branch India Legal Entity
📍 Mumbai