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Morningstar
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Compliance Manager

Compliance Manager

Morningstar

6 - 10 years

6 - 10 Lacs

Mumbai Maharashtra India

Posted:1 month ago| Platform: Foundit logo

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Skills Required

Internal Controls Compliance Audit regulatory filings communication

Work Mode

On-site

Job Type

Full Time

Job Description

Position: Compliance Manager

The Role:The position provides compliance support for Mumbai-based staff who perform credit rating analysis, data, criteria or model - related work in support of Morningstar DBRS Credit Ratings. Morningstar DBRS India is a branch of DBRS Ratings GmbH and this position reports to the Regional Compliance Officer for EU.

Responsibilities:

Responsible for assisting the Regional Compliance Officer for EU in his administration of the firm s compliance program.
Responsible for providing compliance advisory support for Mumbai-based staff and maintaining strong relationships with key business stakeholders
Performmonitoring/surveillanceactivities as assigned by the Regional Compliance Officer for EU or other relevant Compliance Officers.
Assist with compiling regulatory filings within a timeframe prescribed by the Regional Compliance Officer for EU
Perform tasks or projects as assigned by the Regional Compliance Officer for EU or other relevant Compliance Officers.
Assist in the development, implementation and maintenance of the compliance policies and procedures, in particular, for Mumbai-based staff working/supporting Morningstar DBRS credit ratings
Assist in conducting trainings sessions relating to regulatory and compliance matters.

Requirements:

A minimum of 5 years in a compliance, audit or internal control role.
A motivated, detail-oriented, and independent thinker able to interact with employees of all levels.
Strong writing and communications skills.
Strong organizational and time management skills.
A high level of proficiency and comfort with all aspects of Microsoft Office applications along with Internet Search ability.
A Bachelor Degree in Business, Finance, Accounting or related field.
Prior training and/or project management experiences preferred

Experience, Skills and Knowledge:

The preferred qualifications of an ideal candidate include:

Compliance or internal control experience.
An understanding of governance matters pertaining to outsourced activities.
A general understanding of financial services markets is required; knowledge of credit ratings is extremely helpful.

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