Global Head of Compliance (NY)

Position Title: Global Head of Compliance (NY)

Entity: KBRA Holdings LLC

Employment Type: Full-Time

Location: New York, New York

Summary:

KBRA, a leading global credit rating agency, is seeking a Global Head of Compliance to lead its Compliance Department. You will be responsible for developing, managing, and enhancing KBRA’s compliance framework across the United States, Europe, the UK, and Japan. This role requires an experienced leader with strong legal and regulatory expertise, the ability to manage and inspire teams, and the willingness to be hands-on in addressing both strategic and operational compliance matters. The position will be based in 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 advisory services. The Compliance Department works closely with rating analysts, legal, finance, technology, business development and senior management across the company. This role reports to the General Counsel and also has a reporting line to KBRA’s Board of Managers.

About the Job:

As Global Head of Compliance, your responsibilities will include strengthening KBRA’s internal controls,  reviewing and maintaining KBRA’s compliance policies and procedures, overseeing various types of monitoring, overseeing the drafting and submitting of regulatory reports, managing the completion of regulatory examinations and related document requests, interacting with internal and external stakeholders about compliance matters and identifying and implementing improvements to and enhancing the efficiency of KBRA’s compliance program and operations.

About You:

• Global Leadership: Provide strategic direction and leadership to KBRA’s compliance function worldwide, maintaining consistency across jurisdictions while adapting to local regulatory requirements.
• Team Management: Manage and mentor the Heads of Compliance in the U.S., Europe, and Japan, fostering a culture of accountability, collaboration, and professional growth.
• Regulatory Framework: You will learn and become knowledgeable about the global regulatory framework applicable to credit rating agencies and will understand how the regulatory framework affects all aspects of KBRA and its affiliates’ businesses.
• Program Development: Design, implement, and continuously improve global compliance programs, policies, and procedures that promote ethical conduct and mitigate compliance risks.
• Internal Controls: Review, refine and strengthen KBRA’s compliance internal controls and suggest improvements to controls managed by other internal control functions.
• Risk Management: Identify, assess, and manage compliance risks across KBRA’s operations, managing proactive responses to regulatory changes and industry developments.
• Policies and Procedures: You will become familiar with KBRA’s policies and procedures (Compliance and otherwise) and refine KBRA’s policies and procedures, their layout, organization and accessibility. You will regularly meet with relevant stakeholders to confirm the continued applicability and accuracy of KBRA’s policies and procedures.
• Supervising Monitoring Duties: You will oversee KBRA’s internal control monitoring program, the compliance program and identify any additional areas to be monitored. You will create monitoring plans and create a procedure to govern KBRA’s monitoring program. You will present the result of the monitoring program to KBRA’s Boards on a quarterly basis.
• Culture of Compliance: Promote a culture of integrity and compliance throughout the organization, serving as a trusted advisor to the executive team and Board.

You will be successful in this role if you possess:

• Have a JD or equivalent
• Minimum 15 years of relevant compliance and legal experience, including senior leadership roles.
• Demonstrated success in managing global or multi-jurisdictional compliance team and enhancing organization and efficiency.
• Experience in financial services, securities regulation, or credit rating agency compliance strongly preferred.
• Strong leadership skills with the ability to motivate, influence, and guide senior professionals.
• Entrepreneurial mindset with the ability and willingness to be hands-on, deeply involved in daily compliance challenges.
• Exceptional judgment, integrity, and discretion.
• Excellent written and verbal communication and interpersonal skills, capable of engaging with regulators, executives, and employees at all levels.
• Strategic thinker with a pragmatic approach to problem-solving.
• Familiarity with Generative AI tools such as ChatGPT for research, data insights, and general productivity is a plus.

Salary Range:

The anticipated annual base salary range for this full-time position is $300,000 - $350,000. Offer amounts are determined by factors such as experience, skills, geography, and other job-related factors.

Benefits:

• A flexible hybrid work schedule – Tuesdays, Wednesdays, Thursdays in the office
• Competitive benefits and paid time off
• Paid family and disability leave
• 401(k) plan, including employer match (100% vested)
• Educational and professional development financial assistance
• Employee referral bonus program

About Us:

KBRA is a full-service credit rating agency registered in the U.S., the EU and the UK, and is designated to provide structured finance ratings in Canada. KBRA’s ratings can be used by investors for regulatory capital purposes in multiple jurisdictions.

More Info:

KBRA encourages applications from all qualified individuals without regard to race, color, religion, gender, sexual orientation, gender identity or expression, age, national origin, marital status, citizenship, disability, and veteran status or any other basis prohibited by federal, state or local law.

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