Compliance Analyst

Compliance Analyst, Financial Crime Compliance, Global Controls – Mumbai

The Team

Morningstar’s Financial Crime Compliance team is a key component of the Global Controls

function within the Compliance Department and helps to mitigate the company’s financial

crime risks across the diverse jurisdictions where the company operates. Our mandate is to

support the business units within Morningstar in areas such as sanctions screening, Know

Your Client (KYC), and various anti-money laundering (AML) and combating the financing of

terrorism (CFT) initiatives. The team operates at a global level, with members based in the

United States, South Africa, Romania and India.

The Role

Morningstar is seeking a Compliance Analyst based in Mumbai reporting to the Director,

Financial Crime Compliance who is based in Chicago (United States). The Compliance

Analyst will support the Financial Crime Compliance team in the management,

implementation, and improvement of the financial crime compliance program across all

business units within Morningstar.

Responsibilities

The Compliance Analyst will be expected to:

• Perform the screening of Morningstar’s business relationships against international sanctions programs and the review of records concerning adverse media, enforcement proceedings, regulatory actions and other related financial crime issues.
• Support the implementation of internal procedures for the general operation of the financial crime compliance program.
• Perform tasks in accordance with internal policies and procedures.
• Document and keep records of reviews performed and associated controls.
• Identify records and issues that need to be escalated for further review.
• Work with other Compliance teams within the Global Controls function and interact with employees at various levels of the organization across multiple time zones.
• Professionally manage relationships with other colleagues and contribute to the growth of the compliance culture regarding financial crime within Morningstar.
  
  
  

Requirements

• A minimum of 2 years’ experience in compliance and/or regulatory analysis developed in Financial Services, Legal, or related professions.
• Prior work experience with financial crime compliance or AML/CFT concepts and issues is a plus.
• Bachelor’s degree in Finance, Law, Business Administration, or related field.
• Strong working knowledge of the Microsoft Office Suite.
• Experience in implementation and monitoring adherence to corporate policies, procedures and guidance documents.
• Experience in working with compliance specific screening solutions, tools and platforms.
• Ability to work both independently and collaboratively, capable of managing responsibilities autonomously and engaging constructively in group projects to achieve mutual goals.
• Ability to manage multiple projects, with varying deadlines, concurrently in conjunction with the other members of the Financial Crime Compliance team.
• A team player with a positive and proactive attitude.
• An openness and desire to learn and grow professionally.
• Strong organizational and communication skills (verbal and written).
• Excellent knowledge of the English language (written and verbal).
• Strong critical thinking, analytical and investigative skills.
  
  
  

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.

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