This job is with Morningstar, an inclusive employer and a member of myGwork – the largest global platform for the LGBTQ+ business community. Please do not contact the recruiter directly.
The Role
To support its Global Compliance Program, DBRS is seeking a Compliance Analyst in its Toronto 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 global head based in London and other team members based in Toronto and New York.
We are operating in a hybrid work environment where we are in office 3 days/week.
Responsibilities
- Responsible for assisting the firm's designated compliance officer in his administration of the firm's compliance program.
- Expected to travel to and temporarily work out of the location that they are not based out of as needed.
- Perform monitoring/surveillance activities as assigned by the Designated Compliance Officer or Compliance Officers.
- Review and comment on marketing materials prepared and distributed by Morningstar Credit Ratings.
- Compile and complete regulatory filings within a timeframe prescribed by the Designated Compliance Officer.
- Perform tasks or projects as assigned by the Designated Compliance Officer or Compliance Officers.
- Assist in the development, implementation and maintenance of the compliance policies and procedures.
- Assist in conducting trainings sessions relating to regulatory and compliance matters.
Requirements
- A minimum of 2 years in a compliance 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.
- Proficient in Tableau, Power BI and Excel.
- A Bachelor Degree in Business, Finance, Accounting or related field.
- Prior training and/or project management experiences preferred
Experience, Skills And Knowledge
- Compliance experience with an NRSRO firm;
- A general understanding of the federal securities laws pertaining to NRSROs;
- An understanding of the structured finance market, specifically asset-backed securities;
- Bachelor's degree required
AI is not permitted to perform job functions in any capacity. Electronic communications are monitore
R08_DBRSLtdCanada DBRS Limited - Canada 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.