Compliance Associate
hace 1 semana
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:
- 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.
- 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.-
Tax Compliance Services Representative
hace 1 semana
Madrid, Madrid, España Sovos Compliance A tiempo completoBuild your future with Sovos.If you are looking for an opportunity where career-minded professionals can achieve success while bringing their best and whole selves to work each day, Sovos may be the company you have been looking for. Employees at Sovos operate on the leading edge of digital technology while working to improve lives and the communities in...
-
M&T Compliance Associate
hace 1 semana
Madrid, Madrid, España Morningstar A tiempo completoThe 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 1 semana
Madrid, Madrid, España Morningstar A tiempo completoThe 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 the scope...
-
M&T Compliance Associate
hace 2 meses
Madrid, Madrid, España Morningstar A tiempo completoThe 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 the scope...
-
M&T Compliance Associate
hace 3 semanas
Madrid, Madrid, España Morningstar A tiempo completoThe 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 the scope...
-
M&T Compliance Associate
hace 1 semana
Madrid, Madrid, España Morningstar A tiempo completoMonitoring & 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 the scope of the...
-
Compliance Associate
hace 1 semana
Madrid, Madrid, España Jr Spain A tiempo completocol-wideJob Description:Funciones:Asistir al AIFM Compliance Manager en la elaboración y presentación de los informes periódicos reglamentarios e internos (incluidos los informes al órgano de gobierno del AIFM y de los fondos gestionados)..Asistir al equipo de Cumplimiento Normativo en una amplia gama de funciones que incluyenActualización de políticas...
-
M&t Compliance Associate
hace 1 semana
Madrid, Madrid, España Morningstar A tiempo completoThe 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 for...
-
Associate, Compliance
hace 1 semana
Madrid, Madrid, España Amazon A tiempo completoDESCRIPTIONCome join us in shaping the future of entertainment If you are passionate about influencing the world of movies and television, and want to play a key role in determining what Amazon customers enjoy watching, then this opportunity is for you.Prime Video, a leading streaming service, provides a vast library of TV shows and movies, making it easy...
-
Associate Director, Ethics and Compliance
hace 1 semana
Madrid, Madrid, España Moderna A tiempo completoThe Role:Joining Moderna offers the unique opportunity to be part of a pioneering team that's revolutionizing medicine through mRNA technology with a diverse pipeline of development programs across various diseases. As an employee, you'll be part of a continually growing organization working alongside exceptional colleagues and strategic partners worldwide,...
-
Associate, Compliance
hace 3 semanas
Madrid, Madrid, España Amazon A tiempo completoCome be part of shaping the future of entertainment with us! Are you passionate about defining the next era of movies and TV shows at Amazon? Prime Video is a top-notch streaming service that provides customers with a wide array of TV series and films all conveniently available in one place. From Originals and Exclusive content to thrilling live sports...
-
Associate, Compliance
hace 1 mes
Madrid, Madrid, España Amazon A tiempo completoCome be part of shaping the future of entertainment with us! Are you passionate about defining the next era of movies and TV shows at Amazon? Prime Video is a top-notch streaming service that provides customers with a wide array of TV series and films all conveniently available in one place. From Originals and Exclusive content to thrilling live sports...
-
Sr. Associate, Compliance
hace 1 semana
Madrid, Madrid, España Amazon A tiempo completoAssociate, Compliance - English/Italian , Prime Video Trust & SafetyJob ID: | Amazon Digital Spain S.L.U.Come build the future of entertainment with us. Are you interested in helping shape the future of movies and television? Do you want to help define the next generation of how and what Amazon customers are watching?Prime Video is a premium streaming...
-
Sr. Associate, Trade Operations and Compliance
hace 1 semana
Madrid, Madrid, España Moderna Therapeutics A tiempo completoThe Role:Sr. Associate, Trade Operations & Compliance - OUS collaborates with Global Operations & Compliance to ensure that Moderna meets the requirements for importing/exporting goods. You will perform a range of moderate-to-complex activities using comprehensive trade compliance operations knowledge.Here's What You'll Do:Work as part of the Trade...
-
Sr. Associate, Compliance
hace 3 semanas
Madrid, Madrid, España Amazon A tiempo completoJoin us and be part of creating the future of entertainment! Are you ready to play a role in shaping the next generation of movies and television at Amazon Prime Video?Prime Video is a top-tier streaming service that provides customers with a vast selection of TV shows and movies, making it easy for them to find their favorite content all in one place.With...
-
Sr. Associate, Compliance
hace 1 mes
Madrid, Madrid, España Amazon A tiempo completoJoin us and be part of creating the future of entertainment! Are you ready to play a role in shaping the next generation of movies and television at Amazon Prime Video?Prime Video is a top-tier streaming service that provides customers with a vast selection of TV shows and movies, making it easy for them to find their favorite content all in one place.With...
-
Trade Surveillance Compliance Associate in
hace 1 semana
Madrid, Madrid, España BBVA A tiempo completoÁrea:CORPORATE & INVESTMENT BANKINGSociedad:BBVA, S.A.¿Qué estamos buscando?Requisitos:Imprescindibles Estudios en Ciencias Económicas o Ingeniería. Conocimientos en mercados financieros, la posición requiere de conocimiento del funcionamiento y las dinámicas de los mercados financieros, en distintos tipos de activos (equities, fixed income, FX,...
-
Sr. Associate, Compliance
hace 3 semanas
Madrid, Madrid, España Amazon A tiempo completoCome join us in shaping the future of entertainment! Interested in being part of defining what customers watch on Amazon while helping to shape the future of movies and TV shows? Prime Video, a premium streaming service, offers a vast collection of Originals, Exclusive content, live sports events, and more - all in one convenient place. Join a fast-paced,...
-
Sr. Associate, Compliance
hace 1 mes
Madrid, Madrid, España Amazon A tiempo completoCome join us in shaping the future of entertainment! Interested in being part of defining what customers watch on Amazon while helping to shape the future of movies and TV shows? Prime Video, a premium streaming service, offers a vast collection of Originals, Exclusive content, live sports events, and more - all in one convenient place. Join a fast-paced,...
-
Associate Director Ehs&S – Environmental Compliance
hace 1 semana
Madrid, Madrid, España Baxter Healthcare A tiempo completoVantive:A New Firm Created On Our Long-Standing Foundation Baxter is on a pathway to separate our around $5B Kidney Care sector into an independent company. Vantive will extend our nearly 70-year heritage in acute therapies and home and in-center dialysis to offer top-notch care to the individuals we serve. We are confident that Vantive will not only...