Compliance Analyst - Conflicts of Interest Monitoring

Compliance Analyst, DBRS

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.

Experience Level

Mid Level