Execute and document compliance monitoring and testing activities, communicate results and follow-ups, identify automation and improvement opportunities, and support enhancement of the Internal Controls Framework including error deep-dives and governance.
Compliance Associate, Mumbai, Global Internal Controls
The Team:
DBRS Morningstar (DBRSM) is a recognized international rating agency that provides timely and comprehensive credit rating opinions to the world's capital markets. DBRSM offers in-depth credit analysis of corporate entities, financial institutions, and government issues in North America, Europe, Asia, and Latin America. DBRSM's extensive coverage of structured finance and securitization has solidified its standing as a leading provider of comprehensive, in-depth credit analysis. DBRSM is Canada's leading credit rating agency.
DBRSM is wholly owned by Morningstar, Inc. and has offices in New York, Chicago, Toronto, London, Frankfurt and Madrid.
The Role: DBRSM is currently seeking a Compliance Associate to carry out key Monitoring and Internal Controls enhancement activities. The successful candidate will have the ability to shape the role and have a meaningful impact on the entire DBRS organization.
To assist in the responsibility, the Compliance Associate will interact with key stakeholders from DBRSM's various offices. This position is based in Mumbai, India reports to the Head of Global Internal Controls in the Compliance department.
Responsibilities
As part of the Global Internal Controls team this person will
Requirements
Morningstar DBRS 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.
R11_DBRSRatingsGmbHIndia DBRS Ratings GmbH, Branch India Legal Entity
The Team:
DBRS Morningstar (DBRSM) is a recognized international rating agency that provides timely and comprehensive credit rating opinions to the world's capital markets. DBRSM offers in-depth credit analysis of corporate entities, financial institutions, and government issues in North America, Europe, Asia, and Latin America. DBRSM's extensive coverage of structured finance and securitization has solidified its standing as a leading provider of comprehensive, in-depth credit analysis. DBRSM is Canada's leading credit rating agency.
DBRSM is wholly owned by Morningstar, Inc. and has offices in New York, Chicago, Toronto, London, Frankfurt and Madrid.
The Role: DBRSM is currently seeking a Compliance Associate to carry out key Monitoring and Internal Controls enhancement activities. The successful candidate will have the ability to shape the role and have a meaningful impact on the entire DBRS organization.
To assist in the responsibility, the Compliance Associate will interact with key stakeholders from DBRSM's various offices. This position is based in Mumbai, India reports to the Head of Global Internal Controls in the Compliance department.
Responsibilities
As part of the Global Internal Controls team this person will
- Execute general monitoring activities in-scope and ensure timely and effective execution of each of the activities.
- Ensure proper documentation of monitoring results for all monitoring activities in-scope.
- Communicate results within Compliance and with key business stakeholders.
- Ensure completion of any follow-ups resulting from the general monitoring activities.
- Identify opportunities for improvement and automation in order to execute the program more effectively and efficiently.
- Participate in the enhancement of the Internal Controls Framework: Internal Controls Library, Deep Dive analysis of errors and Governance activities.
Requirements
- A minimum of 6 years of compliance related experience.
- Experience in executing a comprehensive compliance monitoring or testing program.
- Experience drafting procedures and internal communications.
- Experience performing compliance reviews or testing, developing findings and recommendations
- Prior experience and specialized knowledge in products and process pertaining to the credit ratings business is a plus.
- Strong analytical and investigative skills.
- Good critical thinking and sound judgement skills.
- Strong interpersonal skills, with the ability to effectively influence and collaborate with diverse teams.
- High degree of professionalism and integrity with demonstrated ability to handle confidential issues in a professional manner.
- Strong organizational and time management skills with the flexibility and willingness to respond to changing priorities.
- High level of attention to detail and problem-solving skills.
- A bachelor's degree is required.
- A degree in finance, accounting, or economics and an advanced degree is preferred. Compliance related professional certifications are recommended.
Morningstar DBRS 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.
R11_DBRSRatingsGmbHIndia DBRS Ratings GmbH, Branch India Legal Entity
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