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 UK Limited and its affiliates in New York and Dublin (“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 in 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 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 and advise internal stakeholders on regulatory developments.

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 about the applicability of regulations on KBRA’s day-to-day work and strategic objectives.
  • 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.
  • Data Privacy/Cybersecurity: 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.
  • 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 analytic teams and Technology Department in this context.
  • 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.
  • Engagement Letters/Business Development: 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. You will serve as a resource for Business Development with respect to questions that arise during the client engagement process.
  • Contracts: You may contribute to the review and negotiation of subscription agreements with clients across various product offerings; vendor agreements for various types of services and products; all other types of contracts to which KBRA may be a party.

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 England or England
  • Have a minimum of eight (8) or more years of relevant experience
  • Possess a strong background in regulatory affairs
  • Governmental affairs experience is most helpful
  • Excellent verbal and written communication skills are essential. Writing samples may be requested
  • 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

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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