Compliance Associate
Job Summary
Job Description
The Compliance Associate will primarily conduct Electronic Communications review for Morningstar Indexes and Morningstar Sustainalytics to detect inappropriate communications, potential conflicts of interest, and complaints. Additionally, the role involves executing general monitoring and testing activities, ensuring proper documentation, communicating results to stakeholders, and identifying opportunities for improvement and automation. The associate will also assist with methodology development, disclosure review, and other key activities for the Monitoring and Testing Team.
Must have:
- Conduct Electronic Communications review to detect inappropriate communications, potential conflicts of interest, potential complaints.
- 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.
- Assist with other key activities identified by the Monitoring and Testing Team for Morningstar Sustainalytics and Indexes.
Perks:
- Hybrid work environment
- Opportunity to work remotely
- Collaborate in-person each week
- Range of other benefits available to enhance flexibility as needs change
- Tools and resources to engage meaningfully with global colleagues
1 skill required
Job Details
The key responsibility of this role is to conduct Electronic Communications review to detect inappropriate communications, potential conflicts of interest, potential complaints, etc. for two regulated Morningstar business groups, Morningstar Indexes and Morningstar Sustainalytics.
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
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