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Manager / Senior Manager – Compliance and Quality Control

125k/year - 175k/year
New York City, NY


Total Compensation is targeted at $125K - $175K.  To be determined based on candidate's credentials, experiences, and potential value to the department / firm.

Position is based in NYC / hybrid. 


Manager / Senior Manager – Compliance and Quality Control


Position Overview:

Our client is a Nationally Recognized Statistical Ratings Organization (NRSRO) and is recognized by The National Association of Insurance Commissioners (NAIC) and The European Securities and Markets Authority (ESMA) as a Credit Rating Provider.   They serve as a global integrated risk assessment firm that empowers organizations to make better decisions by issuing timely and accurate ratings.  Long established as a leading global provider of independent ratings, their platform offers greater transparency, more informed decisions, and fair access to information coupled with competitive pricing and cutting-edge technology.  Reporting directly to the Chief Risk and Compliance Officer this individual will serve as a key member of the team and company as they continue to rapidly expand.  


Specific Responsibilities will include (but not be limited to):  

The Sr. Manager, Compliance and Quality Control is accountable for evaluating the Ratings team’s adherence to methodologies and procedures for determining credit ratings, as well as the overall consistency of credit ratings throughout the organization. The role will also be accountable for helping to evaluate controls intended to ensure compliance with SEC regulations pertaining to credit rating agencies. This is a highly visible role within the company and will involve regular communication with senior management.

  • Leads and manages the Quality Review function within the Risk and Compliance Department
  • Assists in creating/maintaining policies and procedures governing quality reviews of credit rating files
  • Performs and documents reviews of credit rating files
  • Makes recommendations to help analytical staff enhance adherence to methodology and rating consistency
  • Performs and documents reviews of credit rating models
  • Authors reports for members of the management team
  • Evaluates internal controls
  • Drives needed change in the organization
  • Assists DCO in various tasks to fulfill regulatory requirements



  • Solid understanding of credit risk (corporates and/or structured finance) and general knowledge of capital markets
  • 4+ years of experience in credit ratings, research, investing, underwriting, consulting, or similar experience, preferably within an NRSRO, bank or securities firm
  • Prior experience in an analytical role within a bank or a credit rating agency helpful
  • Compliance and/or Risk Management experience helpful
  • Experience performing and documenting reviews and/or audits within the financial services industry
  • Ability to conceptualize, plan, initiate and execute strategies across the firm to meet objectives
  • Ability to communicate complex issues and drive needed change
  • Ability to mix firmness with diplomacy
  • Independent thought process and highest level of integrity
  • Experience interacting with regulators helpful
  • Experience presenting to senior management helpful
  • Articulate and compelling written and verbal communication skills
  • Undergraduate degree required, preferably in finance, economics, or related area
  • Advanced degree and relevant certifications a plus