KBRA
Head of North American Compliance (NY)
New York, New York · Contract
Sponsorship not specified$25k-$101kDetected 114 days ago
LLMsComplianceBusiness DevelopmentResearchCommunicationOrganizational SkillsInternal Audit
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Cap-exempt (no lottery)0
Sponsors this role80
Entry-level history0
PERM / green-card track0
Lottery odds (Level I)39
Fits your clock70
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About the role
- The Compliance Department is also responsible for regulatory reporting, regulatory examinations, certain regulatory requests and compliance guidance.
- The Compliance Department works closely with analysts, legal, finance, technology, business development and senior management across the company.
- This role reports to our Global Head of Compliance and will have a reporting line to KBRA's Board of Managers.
Responsibilities
- You will create monitoring plans and provide oversight of and direction to KBRA's monitoring program.
- You will manage and submit KBRA's regulatory reports in relevant jurisdictions in North America (including Form NRSRO, Form 25-101F and related documents).
- You will create an affirmation system concerning the information you will collect from various stakeholders across the firm, and you will work closely with the Technology team to develop documented guidance on regulatory reporting for KBRA and its credit rating affiliates.
- You will collect, prepare and submit responses to certain regulatory inquiries and document and information requests, and be responsible for a positive constructive relationship with KBRA's North American regulators, including the SEC OCR staff.
- You will manage US-based compliance staff.
- You will identify and raise staffing issues and needs as they arise, and effectively manage your team to facilitate excellent work product and quick response time.
Compensation
- The anticipated annual base salary range for this full-time position is $250,000 to $300,000.
- You will assist in management of KBRA's interactions with KBRA's regulators in North American jurisdictions, including the SEC's Office of Credit Ratings ("SEC OCR") and the Ontario Securities Commission, and its annual examinations.
Benefits
- Competitive benefits and paid time off
- Paid family and disability leave
- Educational and professional development financial assistance
- Employee referral bonus program
Company info
- Kroll Bond Rating Agency, LLC (KBRA) is a full-service credit rating agency registered with the U.S. Securities and Exchange Commission as an NRSRO.
- Kroll Bond Rating Agency Europe Limited is registered as a CRA with the European Securities and Markets Authority.
- Kroll Bond Rating Agency UK Limited is registered as a CRA with the UK Financial Conduct Authority pursuant to the Temporary Registration Regime.
- In addition, KBRA is designated as a designated rating organization by the Ontario Securities Commission for issuers of asset-backed securities to file a short form prospectus or shelf prospectus.
- KBRA is also recognized by the National Association of Insurance Commissioners as a Credit Rating Provider.
- Compliance Program. You will become familiar with KBRA's compliance program, how it incorporates regulatory requirements applicable to NRSROs, assess its efficacy on an ongoing basis and identify and implement enhancements as necessary.
- Have experience interacting regularly and effectively with all stakeholders within a company environment
This listing is sourced directly from KBRA's careers page and normalized into a canonical job model.