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152 Morningstar Jobs
Compliance Analyst
Morningstar
posted 13hr ago
Job Role Insights
Flexible timing
Key skills for the job
Job Description
The Compliance Analyst will be expected to
- Support the implementation of operating procedures for the general operation of the global conflicts of interest compliance program within Wealth Research Retirement.
- Monitor compliance with the firm s conflicts of interest policies, including securities trading, gifts entertainment and escalate issues to management as necessary.
- Administer the firm s Conflicts Management System for Wealth Research Retirement globally.
- Document and keep records 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.
- Ability to work with a global team and interact with employees at various levels of an organization.
Requirements
- A minimum of 2 years experience in compliance and/or regulatory analysis developed in Financial Services, Accounting or Legal professions.
- Prior experience with Control Room functions, including preclearance of employee trades and management and use of restricted lists, is a plus.
- Bachelor s degree in Finance, Accounting, Commerce or Business Administration.
- Proficiency with Excel.
- Experience in implementation and monitoring adherence to corporate policies, procedures and other guidance documents.
- Ability to manage multiple projects concurrently in conjunction with the Compliance team.
- A team player with positive and proactive attitude.
- Strong organizational and communication skills (verbal and written).
- Excellent command over the English language essential (written and verbal).
- Strong analytical and investigative skills.
Employment Type: Full Time, Permanent
Read full job descriptionPrepare for Compliance Analyst roles with real interview advice
Top Morningstar Compliance Analyst Interview Questions
Q1. What is the difference between issued and outstanding shares?
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Q2. What is the relationship between all the 3 financial statements?
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What people at Morningstar are saying
Rating based on 1 Compliance Analyst
review
Anonymous · Risk Management & Compliance
in Mumbai
Likes
Workculture, Work Life Balance
- Salary - Excellent
+5 more
Dislikes
Favouritism to Manager's Subordinates at the time of hike Appraisal
Compliance Analyst salary at Morningstar
reported by
4
employees
₹5.8
L/yr - ₹7
L/yr
At
par with the average Compliance Analyst Salary in India
View more details
What Morningstar employees are saying about work life
based on 1.1k employees
Flexible timing
Monday to Friday
No travel
Day Shift
Morningstar Benefits
Health Insurance 
Education Assistance 
Job Training 
Work From Home 
Soft Skill Training 
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