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Required Skills: CS , Compliance Associate
Required Exp: Fresher
Category: CS Jobs
Compliance Associate (Based in Mumbai, India)
The Team: The Compliance department of Morningstar in India currently seeks a temporary replacement (Replacement) for our Compliance Associate for a period of 6 months, starting December 01, 2020. Morningstar’s Compliance team supports Morningstar’s global business entities, primarily focusing on those registered with and governed by regulatory authorities. Our compliance professionals help each Morningstar business entity adhere to the rules and regulations of the local regulatory authorities. In India, Morningstar Investment Adviser India Private Limited, a part of the Morningstar, Inc. group of companies, is a SEBI regulated entity, providing investment advice and investment research.
Morningstar, Inc. offers an extensive line of products and services for individual investors, financial advisors, asset managers, retirement plan providers and sponsors, and institutional investors in the private capital markets. Morningstar provides data and research insights on a wide range of investment offerings, including managed investment products, publicly listed companies, private capital markets, and real-time global market data. Morningstar, Inc. also offers investment management services through its investment advisory subsidiaries.
The Role: The Replacement will work closely with the Compliance personnel from Morningstar entities in Asia Pacific, including the Chief Compliance Officer, Asia Pacific, to provide support in administering and maintaining the compliance program for Morningstar entities in Asia Pacific including India, Australia, Hong Kong and Singapore. Reporting to the India Compliance Officer, this role will be based in the Mumbai office.
Assist in the administration and maintenance of the compliance and risk management programs in Asia Pacific;
Assist in achieving compliance of the personal trading policies;
Assist in the of the administration and maintenance of compliance training registers for employees;
Providing compliance support for statutory and compliance audits, regulatory inspections etc.;
Assist with the preparation and distribution of Board, Committee and Shareholder meeting papers, including minutes, in India;
Assist with the preparation and filing of company returns with regulators and maintain statutory records and registers;
Assist with the preparation and filing of regulatory reports, as applicable;
Assist with administering the online compliance system for Asia Pacific;
To assist with other Compliance activities as the Compliance Team requires, e.g., research on regulatory changes.
Someone who has a regulatory compliance/corporate secretarial work background for at least a couple of years;
Someone with a Bachelor’s degree or a professional qualification in law/corporate law/securities law;
We could also consider students of the Institute of Company Secretaries of India;
Good written and verbal English communication skills;
Good organizational and time management skills with the flexibility and willingness to respond to changing priorities.
Good working knowledge of computers – particularly MS Office;
Source: Morningstar Website