Compliance Analyst, 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 firm manages conflicts of interest. The broader team has global scope with members based in and/or supporting EMEA, North America and APAC.
The Role
Morningstar is seeking a Compliance Analyst within the Global Controls – Conflicts of Interest (COI) team based in Mumbai India. The Compliance Analyst will support the COI team in the management of the conflicts of interest program supporting a variety of Morningstar businesses that may include our Wealth Research and Retirement businesses, Credit, Sustainalytics and Indexes.
Job Responsibilities
• Follow standard operating procedures associated with 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.
• Operate the firm’s Conflicts Management System globally.
• Ensure proper documentation and record-keeping of associated controls.
• Support the Compliance Department in creating reports as directed on a monthly, quarterly and annual basis.
• Work with the Compliance Department to develop, maintain and deliver compliance training and other materials.
• As directed assist with the preparation for, and conduct of, regulatory examinations.
• Collaborate with a global team on multiple projects.
• 4 days a week in office attendance required.
Qualifications
• At least 1 years’ experience in operations, roles associated with standardization or experience in an operational business environment.
• Experience with control room functions, including preclearance of employee trades and management and use of restricted lists would be an advantage.
• Ability to work effectively in a team environment and adhere to business and workplace standards.
• Background or experience in process automation or AI implementation is preferred.
• Good interpersonal skills to build and maintain effective internal and external relationships.
• Strong communication skills (verbal and written).
• Strong sound judgment and a mature workplace attitude.
• Experience in working with corporate policies, procedures and other guidance documents.
• Knowledge of securities and the finance industry.
• Bachelor’s degree is required.
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.
R11_DBRSRatingsGmbHIndia DBRS Ratings GmbH, Branch India Legal EntitySkills Required
- At least 1 year of experience in operations, standardization, or an operational business environment
- Ability to work effectively in a team environment and follow business and workplace standards
- Strong interpersonal skills for building and maintaining internal and external relationships
- Strong verbal and written communication skills
- Sound judgment and a mature workplace attitude
- Experience working with corporate policies, procedures, and guidance documents
- Knowledge of securities and the finance industry
- Bachelor’s degree
- Experience with control room functions, employee trade preclearance, and restricted lists
- Experience with process automation or AI implementation
What the Team is Saying
Morningstar Compensation & Benefits Highlights
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Leave & Time Off Breadth — Policies include a paid sabbatical every four years and flexible PTO covering vacation, sick, and personal days, alongside paid volunteer time. Feedback suggests these features create meaningful flexibility and rest opportunities beyond standard leave plans.
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Parental & Family Support — A global minimum of 16 weeks paid parental leave for primary caregivers (up to 8 weeks for secondary) and at least six weeks of paid caregiving leave are publicly stated, with adoption assistance also available. These provisions indicate robust support for families during key life events.
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Retirement Support — U.S. materials document a 401(k) match of $0.75 per $1 up to 7% of pay and no‑cost access to Morningstar retirement tools. This combination strengthens long‑term savings and planning for employees.
Morningstar Insights
What We Do
We are a global investment research and financial data company with 40-plus offices across North America, Europe, Australia, and Asia. Our products and services are used daily by individual investors, financial advisors, asset managers, retirement plan providers, and institutional investors. We provide data, research, and analysis across managed investment products, publicly listed companies, private capital markets, debt securities, and real-time global market data. The financial system can have real barriers—hidden information, friction that can slow decisions, and forces that can limit transparency and access. We work to remove them, bringing independent research, connected data, and investor-first tools to a system that needs more clarity. The people doing this work span research, technology, design, product, sales, and functional areas. We build many of our products in-house, so the work can connect directly to the tools investors use to make real financial decisions.
Why Work With Us
Imagining big things is in our blood -- it's transformed us from a company with just a few employees in 1984 to a leading independent investment research company with a worldwide presence today. As of April 2020, we acquired Sustainalytics to drive long-term meaningful outcomes for investors in the ESG space. Join us on this exciting journey!
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Employees engage in a combination of remote and on-site work.
