5.0 - 9.0 years

0 Lacs

navi mumbai, maharashtra

On-site

As a Compliance Officer at Morningstar based in Mumbai, you will be reporting to the Manager of Conflicts of Interest, Global Controls in India. Your main responsibility will be to support the Conflicts of Interest team in managing the conflicts of interest program for the Wealth Research Retirement business. This role requires you to operate the conflicts of interest controls within the global conflicts of interest team's scope. Your key responsibilities will include developing, implementing, and reviewing operating procedures for the general operation of the global conflicts of interest compliance program within the Wealth Research Retirement business. You will also be responsible for monitoring compliance with the firm's conflicts of interest policies, including securities trading, gifts & entertainment, and escalating issues to management as necessary. Additionally, you will administer the firm's Conflicts Management System for Wealth Research Retirement globally, ensure proper documentation and record-keeping of associated controls, and support the Compliance Department in creating reports to Senior Management on a monthly, quarterly, and annual basis. Furthermore, you will 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, and interact with employees at various levels of the organization on sensitive matters. To be successful in this role, you should have a minimum of 5 years of experience in compliance and/or regulatory analysis in Financial Services, Accounting, or Legal professions, along with a minimum of 2 years of experience with Control Room functions. A Bachelor's degree in Finance, Accounting, Commerce, or Business Administration is required, and completion of a professional examination conducted by ICAI, ICMA, or ICSI, or a postgraduate degree/postgraduate diploma is a plus. You should also have experience in developing, implementing, and monitoring adherence to corporate policies, procedures, and other guidance documents, as well as proficiency in Excel at an advanced level. Moreover, you should be able to work under tight deadlines, manage multiple projects concurrently in conjunction with the Compliance team, possess strong organizational and communication skills (verbal and written), have strong analytical and investigative skills, and demonstrate excellent command over the English language (written and verbal). Highly developed interpersonal skills with the ability to develop and maintain effective relationships with diverse teams and across multiple time zones are essential for this role. Morningstar is an equal opportunity employer, providing a hybrid work environment that allows you to work remotely and collaborate in person each week. The company values purposeful togetherness and offers a range of benefits to enhance flexibility as needs change, ensuring that you have the tools and resources to engage meaningfully with your global colleagues.,

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