KBRA
Head of North American Compliance (NY)
New York, New York · Contract
Sponsorship not specified$25k-$101kDetected 22 days ago
LLMsComplianceBusiness DevelopmentResearchCommunicationOrganizational SkillsInternal Audit
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
- 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.
- 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 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.
- The Compliance Department is an important control function and it is responsible for KBRA's compliance with applicable laws, regulations, and rules, as well as KBRA's own internal codes, policies, and procedures.
- Internal Controls: You will review, refine and strengthen KBRA's compliance internal controls and identify and help implement improvements to controls managed by other internal control functions.
- Regulatory Reporting: You will manage and submit KBRA's regulatory reports in relevant jurisdictions in North America (including Form NRSRO, Form 25-101F and related documents).
- Management of Compliance Staff: You will manage US-based compliance staff.
Nice to have
- Have a JD or equivalent
- Have at least 10 years of relevant experience
- Demonstrated success in managing compliance team and enhancing organization and efficiency.
- Will be knowledgeable in SEC regulations with a particular focus on credit rating agencies
- Have experience in drafting and/or reviewing policies and procedures
- Have experience managing teams of people and large projects
- Have experience interacting regularly and effectively with all stakeholders within a company environment
- Have excellent verbal and written communication skills and a positive, hardworking approach to your work
Compensation
- The anticipated annual base salary range for this full-time position is $250,000 to $300,000.
- Offer amounts are determined by factors such as experience, skills, geography, and other job-related factors.
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.
- About the Job
- As Head of North American Compliance, your responsibilities will be focused on KBRA's activities in North America.
- These responsibilities include strengthening KBRA's internal controls, writing, editing, and maintaining KBRA's compliance codes, policies and procedures, overseeing various types of monitoring processes including securities trading, drafting and submitting regulatory reports, managing certain regulatory inquiries and examinations and related document requests, interacting with internal and external stakeholders about compliance matters, reporting to KBRA management and the Board and identifying and implementing improvements to KBRA's compliance program and operations.
- You will be responsible for the following:
This listing is sourced directly from KBRA's careers page and normalized into a canonical job model.