Compliance Associate

hace 4 semanas


Madrid, España Morningstar A tiempo completo

To support its Global Compliance Program, DBRS is seeking a Compliance Analyst in its Madrid Office. The Compliance Analyst is an integral part of the Compliance Program that addresses how the firm manages conflicts of interest. This role will be part of the Global Conflicts of Interest team - with the team manager based in Toronto.

Job Responsibilities

Support the development, implementation and regular review of policies and procedures for the general operation of the global compliance program within DBRS

Take responsibility for monitoring compliance with the firm’s conflicts of interest policies, including securities trading, gifts & entertainment and escalating issues to management as necessary.

Administer the DBRS’s Conflicts Management System for staff globally.

Support the Compliance Department in creating reports to Senior Management on a monthly, quarterly and annual basis.

Work with the Compliance Department to develop, maintain and deliver compliance training and other materials.

Assist with the preparation for, and conduct of, regulatory examinations.

3 days a week in office.

Qualifications

Previous experience in compliance and/or regulatory analysis developed in Financial Services, Accounting or Legal professions.

Experience interacting with employees at various levels of an organization.

Highly developed interpersonal skills to build and maintain effective internal and external relationships.

Strong communication skills (verbal and written).

Strong analytical and investigative skills and sound judgment.

Experience with Control Room functions, including preclearance of employee trades and management and use of restricted lists.

Experience in development, implementation and monitoring adherence to corporate policies, procedures and other guidance documents.

Understanding of and/or professional experience with a credit rating business.

in-depth knowledge of securities

Bachelors degree is required.

Hybrid Work Model

Morningstar’s hybrid work environment gives you the opportunity to work remotely and collaborate in-person 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.

R10_DBRSRtgsGmbHSpain DBRS Ratings GmbH Sucursal en España - Spain Legal Entity

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.

REQ-044393


  • M&T Compliance Associate

    hace 4 semanas


    Madrid, España Morningstar A tiempo completo

    The Team: Monitoring & Testing team is embedded in the Global Controls team, within the Compliance department. The Role: Morningstar is currently seeking a Compliance Associate to manage monitoring & testing program for our ESG (Sustainalytics) & Indexes business. Additionally, the Compliance Associate will carry out key monitoring activities within...

  • M&T Compliance Associate

    hace 2 semanas


    Madrid, España Morningstar A tiempo completo

    The Team: Monitoring & Testing team is embedded in the Global Controls team, within the Compliance department. The Role: Morningstar is currently seeking a Compliance Associate to manage monitoring & testing program for our ESG (Sustainalytics) & Indexes business. Additionally, the Compliance Associate will carry out key monitoring activities within...

  • Compliance Associate

    hace 7 días


    Madrid, España Morningstar A tiempo completo

    To support its Global Compliance Program, DBRS is seeking a Compliance Analyst in its Madrid Office. The Compliance Analyst is an integral part of the Compliance Program that addresses how the firm manages conflicts of interest. This role will be part of the Global Conflicts of Interest team - with the team manager based in Toronto. **Responsibilities**: -...

  • M&t Compliance Associate

    hace 4 semanas


    Madrid, España Morningstar A tiempo completo

    **The Team**: Monitoring & Testing team is embedded in the Global Controls team, within the Compliance department. To assist in the responsibility, the Compliance Associate will interact with key stakeholders from Morningstar Sustainalytics and Indexes in various offices. This position is based in EU and reports to the Lead of Monitoring and Testing Team...


  • Madrid, España BBVA A tiempo completo

    **Área**: **CORPORATE & INVESTMENT BANKING** **Sociedad**: **001** **¿Qué estamos buscando?** Requisitos Académicos y Experiência: - Titulación Universitaria Superior: Derecho, ADE, o Económicas. - Experiência de al menos 3 años en puestos similares. - Se valorará asimismo la experiência en Compliance y áreas afines (Auditoría, Control...


  • Madrid, España Emprego ES A tiempo completo

    Proceso de selección continuo. **Funciones**: The associate legal counsel will be responsible for supporting the Legal Department in its daily legal work, for reviewing agreements proposed by the business units, and for implementing internal procedures. Key action areas: - Support the Legal Department in the daily legal work. - Drafting and reviewing...


  • Madrid, España IE University A tiempo completo

    Overview: The associate legal counsel will be responsible for supporting the Legal Department in its daily legal work, for reviewing agreements proposed by the business units, and for implementing internal procedures. **Responsibilities**: **Key action areas**: - Support the Legal Department in the daily legal work. - Drafting and reviewing specific...


  • Madrid, España Instituto de Empresa A tiempo completo

    The associate legal counsel will be responsible for supporting the Legal Department in its daily legal work, for reviewing agreements proposed by the business units, and for implementing internal procedures. **Key action areas**: - Support the Legal Department in the daily legal work. - Drafting and reviewing specific agreements for IE group, standard...


  • Madrid, España EastHORN Clinical Services A tiempo completo

    **Job summary**: As an Clinical Research Associate you will be expected to actively participate in and manage the recruitment of potential investigators and perform CA and EC submissions. You will be responsible for monitoring of clinical sites, maintenance of study files, conduct of pre-study and initiation visits, liaison with vendors and other duties. You...


  • Madrid, España AbbVie A tiempo completo

    **Company Description** **Job Description** SMA III** As a Study Management Associate III, you will be part of a dynamic, centralized study management team that is responsible for the execution of our global clinical trials and a key member of the study team. The Study Management Associate III works as an independent, contributing member of a...


  • Madrid, España EastHORN Clinical Services A tiempo completo

    **Job summary**: As an experienced **Clinical Research Associate **you will be expected to actively participate in and manage the recruitment of potential investigators and perform CA and EC submissions. You will be responsible for monitoring of clinical sites, maintenance of study files, conduct of pre-study and initiation visits, liaison with vendors and...

  • Associate Counsel

    hace 2 semanas


    Madrid, España Deliverect A tiempo completo

    Deliverect As a rapidly scaling global SaaS unicorn, Deliverect stands at the forefront of revolutionising technological solutions for the dynamic hospitality and Q-commerce sectors. Our mission is clear: to empower ambitious individuals with the skills and knowledge to make a positive impact on business. Developing in their professional careers, all the...


  • Madrid, Madrid, España Innovaderm Research A tiempo completo

    The Associate Project Manager ensures the successful initiation, planning, execution, monitoring, controlling and closure of assigned clinical research projects. The Associate Project Manager must ensure compliance with the study budget, project scope and timelines and in accordance with applicable standard operating procedures (SOPs), good clinical...


  • Madrid, España Plug Power A tiempo completo

    Senior Financial Shared Services Associate - GL Operations Location: Madrid, Spain Status: Exempt (salaried) Department: EMEA Finance/Accounting Position Summary The Senior Associate GL Operations is a critical member of the EMEA FSS Team. This role will help build the team from the ground up, create strong processes and will work across...


  • Madrid, España Prodware España A tiempo completo

    Infra & Cloud Consultant en Madrid. Quieres trabajar en uno de los principales partners de Microsoft en España? Desde Prodware España precisamos incorporar un Consultor de Infra Cloud. Funciones - Participar en reuniones con cliente como asesor tecnológico - Participación en proyectos de - Migraciones a Microsoft 365. - Protección de los activos de...


  • Madrid, España AstraZeneca A tiempo completo

    At AstraZeneca we believe in the potential of our people and you’ll develop beyond what you thought possible. We make the most of your skills and passion by actively supporting you to see what you can achieve no matter where you start with us. The Clinical Research Associate (CRA) has local responsibility for the delivery of the studies at allocated sites...


  • Madrid, España Novartis A tiempo completo

    766 million patients were reached with Novartis medicines. We aspire to get Novartis medicines in the hands and homes of patients by delivering a Triple Win: A Win for Patients; A Win for Healthcare Systems, and A Win for Novartis. - The Clinical Site Associate performs monitoring activities related to initiation, conduct (recruitment, quality data...


  • Madrid, España Medpace, Inc. A tiempo completo

    Job Summary: The Clinical Research Associate at Medpace is offering the unique opportunity to have an **exciting career** in the research of drug and medical device development. For those with **medical and/or health/life science interest and background** who want to explore the research field, and be part of a team bringing pharmaceutical and medical...


  • Madrid, España EDP Renováveis A tiempo completo

    País/región: ES- Población: Madrid- Empresa: EDP RENOVÁVEIS S.A.**MISSION** EDP Renewables is a global leader in the renewable energy sector and the fourth largest producer worldwide. With its robust development portfolio, first-class assets and a market-leading operational capacity, EDPR has shown extraordinary growth over the past few years, is...


  • Madrid, España Innovaderm Research A tiempo completo

    The Associate Project Manager ensures the successful initiation, planning, execution, monitoring, controlling and closure of assigned clinical research projects. The Associate Project Manager must ensure compliance with the study budget, project scope and timelines and in accordance with applicable standard operating procedures (SOPs), good clinical...