Compliance Manager
Compliance Manager
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Job Description
Position: Compliance Manager
The Role:The position provides compliance support for Mumbaibased staff who perform credit rating analysis data criteria or model related work in support of Morningstar DBRS Credit Ratings. Morningstar DBRS India is a branch of DBRS Ratings GmbH and this position reports to the Regional Compliance Officer for EU.
Responsibilities:
- Responsible for assisting the Regional Compliance Officer for EU in his administration of the firms compliance program.
- Responsible for providing compliance advisory support for Mumbaibased staff and maintaining strong relationships with key business stakeholders
- Performmonitoring/surveillanceactivities as assigned by the Regional Compliance Officer for EU or other relevant Compliance Officers.
- Assist with compiling regulatory filings within a timeframe prescribed by the Regional Compliance Officer for EU
- Perform tasks or projects as assigned by the Regional Compliance Officer for EU or other relevant Compliance Officers.
- Assist in the development implementation and maintenance of the compliance policies and procedures in particular for Mumbaibased staff working/supporting Morningstar DBRS credit ratings
- Assist in conducting trainings sessions relating to regulatory and compliance matters.
Requirements:
- Aminimum of 5 years in a compliance audit or internal control role.
- Amotivated detailoriented and independent thinker able to interact with employees of all levels.
- Strong writing and communications skills.
- Strong organizational and time management skills.
- Ahigh level of proficiency and comfort with all aspects of Microsoft Office applications along with Internet Search ability.
- ABachelor Degree in Business Finance Accounting or related field.
- Prior training and/or project management experiences preferred
Experience Skills and Knowledge:
The preferred qualifications of an ideal candidate include:
- Compliance or internal control experience.
- An understanding of governance matters pertaining to outsourced activities.
- A general understanding of financial services markets is required; knowledge of credit ratings is extremely helpful.
Morningstar is an equal opportunity employer.
Morningstars hybrid work environment gives you the opportunity to work remotely and collaborate inperson each week. Weve found that were at our best when were 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 youll have tools and resources to engage meaningfully with your global colleagues.
R11DBRSRatingsGmbHIndia DBRS Ratings GmbH Branch India Legal EntityRequired Experience:
Manager
Employment Type
Full-Time
