Compliance Analyst; Conflicts of Interest DBRS
About the role: The Compliance Analyst will report into the Compliance Officer, located in Compliance function of DBRSM.
Shift : US/UK
No.of Positions : 1
Location: Vashi, Navi Mumbai
Job responsibilities:
Main activities
• Reviewing employees trading statements and entering key trading and holding information into the compliance conflicts system on a timely and accurate basis
• Logging statement receipt and running reports to identify missing statements
• Conducting other in-scope monitoring activities and communicating with the Global Conflicts of Interest team, as required
About the role: The Compliance Analyst will report into the Compliance Officer, located in Compliance function of DBRSM.
Job responsibilities:
Main activities
• Reviewing employees trading statements and entering key trading and holding information into the compliance conflicts system on a timely and accurate basis
• Logging statement receipt and running reports to identify missing statements
• Conducting other in-scope monitoring activities and communicating with the Global Conflicts of Interest team, as required
• Ensure completion of any follow-ups resulting from any data entry or monitoring activities
• Identify opportunities for improvement and automation in order to execute the program more effectively and efficiently
Qualifications:
• A bachelor’s degree is required
• A degree in finance, accounting, or economics and an advanced degree is preferred
Essential skills:
• High attention to detail and accuracy
• Experience in data entry
• Proficient in Microsoft excel
Nice to have:
• Experience handling highly confidential data
• Experience in compliance monitoring and/or testing environment
• Strong analytical and investigative skills
• Good critical thinking and sound judgement skills
• Strong interpersonal skills, with the ability to effectively influence and collaborate with diverse teams
• High degree of professionalism and integrity with demonstrated ability to handle confidential issues in a professional manner
Morningstar is an equal opportunity employer
Morningstar's hybrid work environment gives you the opportunity to collaborate in-person each week as we've found that we're at our best when we're purposely together on a regular basis. In most of our locations, our hybrid work model is four days in-office each week. A range of other benefits are also available to enhance flexibility as needs change. No matter where you are, you'll have tools and resources to engage meaningfully with your global colleagues.
