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.