Compliance Associate

Morningstar is currently seeking a Compliance Associate to manage monitoring & testing program for our ESG (Sustainalytics) & Indexes business. The key responsibilities will be conducting Electronic Communications review. Additionally, the Compliance Associate will carry out other monitoring activities within the scope of the general monitoring program. The successful candidate will have the ability to shape the role and have a meaningful impact on the entire Morningstar organization. 

To assist in the responsibility, the Compliance Associate will interact with key stakeholders from Morningstar Sustainalytics and Indexes in various offices. This position is based in Mumbai, India and reports to the manager Monitoring and Testing Team for Morningstar Sustainalytics and Morningstar Indexes.

Responsibilities

As part of the Global Controls Team with eComm focus, this person will

• Conduct Electronic Communications review to detect inappropriate communications, potential conflicts of interest, potential complaints, etc.

Additionally, this person will contribute to below functions

• Execute general monitoring and testing activities in-scope and ensure timely and effective execution of each of the activities.
• Ensure proper documentation of monitoring and testing results for all activities in-scope.
• Communicate results within Compliance and with key business stakeholders.
• Ensure completion of any follow-ups resulting from the general monitoring and testing activities.
• Identify opportunities for improvement and automation in order to execute the program more effectively and efficiently.
• Perform and ensure proper execution of activities including but not limited to Methodology Development & Disclosure Review, etc.
• Monitoring and Testing reports associated with reviews of various nature.
• Assist with other key activities identified by the Monitoring and Testing Team for Morningstar Sustainalytics and Indexes

Morningstar is an equal opportunity employer

Morningstar’s hybrid work environment gives you the opportunity to work remotely and collaborate in-person each week. We’ve found that we’re at our best when we’re purposely together on a regular basis, at least three days 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.