Compliance Associate

Job Summary

Careers at Morningstar Morningstar Careers Compliance Associate Job Description Compliance Associate, 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 firms manage conflicts of interest. The team has global scope with members based in Europe, Canada and India. The Role Morningstar is seeking a Compliance Associate based in Mumbai reporting to the Manager of Conflicts of Interest, Global Controls based in India (Mumbai). The Compliance Associate will support the Conflicts of Interest team in the management of the conflicts of interest program that include our Wealth Research and Retirement businesses, Sustainalytics and Indexes. The successful candidate will operate the conflicts of interest controls within the scope of the global conflicts of interest team. 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. Administer the firm’s Conflicts Management System globally. Ensure proper documentation and record-keeping of associated...