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148 Morningstar Jobs
Compliance Analyst
Morningstar
posted 5d ago
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Flexible timing
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Job Description
- 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.
- 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
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Anonymous · Risk Management & Compliance
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Compliance Analyst salary at Morningstar
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