Compliance - Associate (NY)

KBRA; New York (NY); Hybrid; USD 100,000 - 120,000; Full time

Job summary

An established industry player is seeking a Compliance Associate to join their dynamic team in New York City. This role offers an exciting opportunity for an entry-level professional to dive into the world of financial compliance and risk management. You will support the compliance department by engaging in essential monitoring tasks, preparing reports, and collaborating with senior leadership. With a hybrid work schedule and a focus on professional development, this position is perfect for someone eager to learn and grow within a supportive environment. If you are passionate about compliance and ready to tackle challenges head-on, this is the role for you!

Benefits

Hybrid Work Schedule

Competitive Benefits and Paid Time Off

Paid Family and Disability Leave

401(k) Plan with Employer Match

Educational and Professional Development Assistance

Employee Referral Bonus Program

Qualifications

• Entry-level or early-career role in financial compliance and regulatory processes.
• Strong analytical and communication skills are essential for success.

Responsibilities

• Assist in day-to-day compliance operations and monitoring activities.
• Prepare compliance reports and responses to regulatory queries.

Skills

Analytical Skills

Problem-Solving Skills

Communication Skills

Attention to Detail

Curiosity and Adaptability

Education

Bachelor's Degree

JD, MBA, or MPA (Advanced Degrees)

Tools

Microsoft Office (Excel, Word, PowerPoint)

Compliance Monitoring Tools

Job description

Join to apply for the Compliance - Associate (NY) role at KBRA.

Position Title: Compliance - Associate (NY)

Entity: KBRA Holdings, LLC

Employment Type: Full-time

Location: New York, NY

Summary/Overview

KBRA Holdings, LLC is seeking an Associate – Compliance to support the KBRA Compliance Department in helping KBRA operate within applicable regulatory frameworks and maintain a high standard of ethical conduct. This role is based out of KBRA’s New York City office.

The ideal candidate will have an interest in financial regulations, compliance, and risk management, demonstrate curiosity, adapt to new projects and shifting priorities, approach challenges with a problem-solving mindset, and possess strong communication and emotional intelligence skills.

This is an excellent opportunity for an entry-level or early-career professional to develop expertise in financial compliance, regulatory processes, project management, and risk management. The role offers hands-on experience in compliance operations while providing exposure to senior leadership and cross-functional teams.

Key Job Responsibilities

• Assist in the day-to-day operations of KBRA’s compliance functions, including monitoring and administrative tasks.
• Conduct compliance monitoring activities, such as email surveillance, securities trading monitoring, and internal policy adherence, including documenting and analyzing monitoring results.
• Help prepare responses to regulatory queries by gathering relevant information and supporting documentation.
• Assist with preparation of compliance reports and other materials for Senior Management and the Board of Directors.

Additional Responsibilities

• Conduct research on compliance-related topics and provide general support to the Compliance Department.
• Help develop and organize training materials for compliance programs.
• Assist in maintaining and updating policies, procedures, and regulatory filings.
• Work on ad-hoc compliance projects and cross-departmental initiatives as assigned, including creating and managing project plans.

Key Skills and Experience

• Bachelor's degree; advanced degrees (JD, MBA, MPA) are a plus and may substitute for work experience.
• 2-4 years of relevant work experience in compliance, financial services, or a regulatory environment (internship experience may be considered).
• Credit rating agency and/or Capital Markets experience is a plus.
• Strong analytical and problem-solving skills with attention to detail.
• Proficiency in Microsoft Office (Excel, Word, PowerPoint) and familiarity with compliance monitoring tools is a plus.
• Ability to work independently, manage multiple tasks, and meet deadlines in a fast-paced environment.
• Excellent oral and written communication skills, with the ability to synthesize and present complex information clearly and effectively.
• A proactive, adaptable, and collaborative approach to work, with curiosity and willingness to learn and develop within the compliance function.

Salary Range

The anticipated annual base salary range for this position is $100,000 to $120,000, depending on experience, skills, and other factors.

Benefits

• A hybrid work schedule – Tuesdays, Wednesdays, and 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, providing structured finance ratings in Canada. KBRA’s ratings are used by investors for regulatory capital purposes across multiple jurisdictions.

Equal Opportunity Statement

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, or veteran status.