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 setting and adhere to business and workplace standards.
• Ability to conduct regulatory analysis, preparing memorandums and draft procedures.
• Background or experience in process automation or AI implementation is preferre

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