Compliance Associate

About the role: The Compliance Associate will report into the Global Head of Internal Controls, located in Compliance function of DBRSM.

Job responsibilities: Main activity

•  Monitoring the emails / MS teams messages in order to comply with the Electronic Communications Global Policy

Others

•  Execute general monitoring activities in-scope and ensure timely and effective execution of each of the activities.

•  Ensure proper documentation of monitoring results for all monitoring activities in-scope.

•  Communicate results within Compliance and with key business stakeholders.

•  Ensure completion of any follow-ups resulting from the general 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. Compliance related professional certifications are recommended.

Nice to have: •  Experience in executing a comprehensive compliance monitoring or testing program.

•  Experience drafting procedures and internal communications.

•  Experience performing compliance reviews or testing, developing findings and recommendations

•  Prior experience and specialized knowledge in products and process pertaining to the credit ratings business is a plus.

•  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 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.