Head of North American Compliance (NY)

  Position: Head of North American Compliance (NY) Entity: KBRA Holdings, LLC Employment Type: Full-Time Location: New York, NY Summary/Overview Kroll Bond Rating Agency, LLC (“KBRA”), a Nationally Recognized Statistical Rating Organization (“NRSRO”) regulated by the Securities and Exchange Commission (“SEC”), is seeking a Head of North American Compliance to join its Compliance Department and to serve as its Designated Compliance Officer. You will have a strong work ethic and be enthusiastic, highly motivated, and well-equipped to work closely with the other members of the Compliance Department as well as other departments on the types of matters described below in addition to other matters that may arise. The position will be based out of our New York office.   About the Team 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.  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. 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: Regulatory Framework: You will learn and become knowledgeable about the regulatory frameworks applicable to NRSROs such that you can advise internal stakeholders on what is permissible pursuant to such laws, regulations and rules, the applicability of compliance policies and procedures to KBRA’s day to day activities and monitor any updates that may occur from time to time. You will understand how the regulatory frameworks affect all aspects of KBRA and its affiliates’ businesses. 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. You will serve as a resource for other control functions with respect to compliance and regulatory-related questions that ari...