The Role
Morningstar is seeking a Compliance Associate within the Global Controls – Conflicts of Interest (COI) team based in Mumbai India. The Compliance Associate 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
- Develop, implement and review operating procedures for 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.
- As required, effectively manage and supervise direct reports within the COI team (two direct reports initially)
- Administer the firm’s Conflicts Management System globally.
- Ensure proper documentation and record-keeping 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.
- Collaborate with a global team on multiple projects.
- 4 days a week in office attendance.
Qualifications
- At least 2 years’ experience in Compliance managing conflicts of interest functions and conducting regulatory analysis.
- Experience with control room functions, including preclearance of employee trades and management and use of restricted lists.
- Demonstrable experience in managing others or the ability to do so.
- Ability to work effectively in a team environment and adhere to business and workplace standards.
- Ability to conduct regulatory analysis, preparing memorandums and draft procedures.
- Background or experience in process automation or AI implementation is preferred.
- Experience interacting with employees at various levels of an organization.
- Highly developed interpersonal skills to build and maintain effective internal and external relationships.
- Strong communication skills (verbal and written).
- Strong analytical and investigative skills and sound judgment.
- Experience in development, implementation and monitoring adherence to corporate policies, procedures and other guidance documents.
- In-depth 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.
I10_MstarIndiaPvtLtd Morningstar India Private Ltd. (Delhi) Legal EntitySkills Required
- At least 2 years of experience managing conflicts of interest compliance functions and conducting regulatory analysis
- Experience with control room functions, including employee trade preclearance and restricted-list management
- Experience managing others or demonstrated ability to do so
- Ability to work effectively in a team environment and follow business and workplace standards
- Ability to conduct regulatory analysis and prepare memorandums and draft procedures
- Experience interacting with employees at various organizational levels
- Highly developed interpersonal skills for building and maintaining internal and external relationships
- Strong verbal and written communication skills
- Strong analytical and investigative skills and sound judgment
- Experience developing, implementing, and monitoring adherence to corporate policies, procedures, and guidance documents
- In-depth knowledge of securities and the finance industry
- Bachelor’s degree
- Experience with process automation or AI implementation
What the Team is Saying
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
Morningstar’s missing is to empower investor success. We can only do that if our people feel empowered. That means finding people who think independently, bring a wide range of backgrounds with analytical rigor and genuine intellectual curiosity to the work.
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Hybrid Workspace
Employees engage in a combination of remote and on-site work.
Across most of our offices globally, employees work four days a week in the office and one day from home. We recognize that life doesn't always fit a fixed schedule and offer programs that can help provided increased workplace flexibility.
