Legal - Assistant General Counsel - Regulatory Affairs (London)

London, United Kingdom

Position Title: Assistant General Counsel - Regulatory Affairs

Entity: Kroll Bond Rating Agency UK Limited

Employment Type: Full-time

Location: London, United Kingdom

Summary/Overview

Kroll Bond Rating Agency Europe Limited and its affiliates in New York and London (“KBRA”) are seeking an Assistant General Counsel to join its Legal Department focusing on Regulatory Affairs. You will be enthusiastic, highly motivated, have a strong work ethic and be well-equipped to work closely with the other members of the Legal Department on the types of matters described below in addition to other matters that may arise. The position will be based out of our London office.

About The Team

The Legal Department handles all of KBRA’s legal matters with the exception of ratings. The Legal Department works with analysts, compliance, finance, technology and senior management across the company.

Job Responsibilities

As an Assistant General Counsel, your responsibilities will focus on regulatory affairs in multiple jurisdictions, and you will liaise with outside counsel and regulators on behalf of KBRA regarding a range of matters, including registration and requirements to do business, preparing registration documents, and responding to regulatory requests. You will also conduct research on credit rating agency regulation across many jurisdictions, advise internal stakeholders on regulatory developments, and help develop positions on proposed regulation, legislation, and policy initiatives.

You May Also Be Responsible For The Following

  • Regulatory Framework: You will gain familiarity with the regulatory framework, laws and regulations applicable to credit rating agencies and how regulations affect all aspects of KBRA. You will monitor regulatory developments and advise KBRA’s employees on the applicability of regulations to KBRA’s day-to-day work and its strategic objectives. You will also contribute to the development of KBRA positions and submissions on proposed regulation, legislation, and policy initiatives.
  • Regulatory Defense: You may collect and review documents, liaise with outside counsel, draft and review internal and external memoranda and documents, conduct legal research and potentially prepare for and participate in regulatory audits and investigations. You may also work closely with senior members of KBRA’s analytical teams and Technology Department in this context.
  • External Engagement:  You may represent KBRA in meetings with regulators and government officials, as well as in connection with industry associations, policy/regulatory forums, client meetings, and industry events.
  • Compliance: You will collaborate with the Compliance Department on discrete and ongoing matters before KBRA’s regulators, including examinations, submissions to regulators, special projects, and various requests.  You may also work with the Compliance Department on regulatory implementation projects, including development of policies and procedures.
  • Data Privacy/Cybersecurity/AI: You will gain familiarity with data privacy laws of jurisdictions in which KBRA operates as well as collaborate with the Information Security team on best practices in all jurisdictions.  You will also develop an understanding of key legal and regulatory developments related to the use of AI and its impact on KBRA.
  • Corporate Governance: You may participate in regular meetings with KBRA’s board of directors and assist with preparation of materials for KBRA’s board of directors.
  • Business Development: You will serve as a resource for Business Development on questions related to regulation across jurisdictions, including questions that may arise during the client engagement process.
  • You may become familiar with and support review of engagement letters across all sectors in which KBRA issues ratings, including structured finance, project finance, financial institutions.

Successful Candidates Will Possess The Following

In order to be successful in this role, you:

  • Will be qualified and admitted to the roll of solicitors or authorised to practice as a barrister in Ireland or England
  • Approximately seven (7) to ten (10) years of relevant experience
  • Possess a strong background in regulatory affairs
  • Government affairs experience is desirable
  • Possess excellent written communication skills. Writing samples may be requested
  • Possess excellent verbal and presentation skills, including the ability to engage effectively with a variety of internal and external audiences
  • Possess strong research, analysis, and organisational skills with particular focus on attention to detail
  • Have knowledge of securities laws and experience working in highly regulated environments, as well as an interest in policy and regulatory developments

About Us:

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. 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. Kroll Bond Rating Agency UK is located at Augustine House, Austin Friars, London, EC2N 2HA, United Kingdom.

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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