Compliance Manager

Position: Compliance Manager

The Role: The position provides compliance support for Mumbai-based 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 firm’s compliance program.
• Responsible for providing compliance advisory support for Mumbai-based staff and maintaining strong relationships with key business stakeholders
• Perform monitoring/surveillance activities 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 Mumbai-based staff working/supporting Morningstar DBRS credit ratings
• Assist in conducting trainings sessions relating to regulatory and compliance matters.
  
  
  

Requirements:

• A minimum of 5 years in a compliance, audit or internal control role.
• A motivated, detail-oriented, and independent thinker able to interact with employees of all levels.
• Strong writing and communications skills.
• Strong organizational and time management skills.
• A high level of proficiency and comfort with all aspects of Microsoft Office applications along with Internet Search ability.
• A Bachelor 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.

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.

R11_DBRSRatingsGmbHIndia DBRS Ratings GmbH, Branch India Legal Entity