Murray R. Markowitz
Murray R. Markowitz has over 25 years of compliance, risk management, and legal experience. As Chief Compliance Officer at Kroll Bond Rating Agency, LLC, Markowitz built a full-service compliance program, which included the implementation of policies and procedures, the development of internal process documentation, the design of compliance monitoring programs, the preparation and delivering of compliance training. In his role at Kroll, Markowitz also led internal investigations, chose compliance software systems, and prepared reports to directors and senior executives. He headed Kroll’s risk committee, served as its principal liaison with regulators in several jurisdictions, and worked closely with the company’s Board of Directors and senior executives on establishing compliance priorities and other initiatives.
Before joining Kroll, Markowitz was a senior structured finance credit analyst at Moody’s Investors Service, Inc. He was tapped by the organization to help build a compliance function in the wake of the 2008 financial crisis. Markowitz helped organize the company’s policies and procedures into an easy to use body of knowledge, conducted extensive compliance training, and provided compliance advice to practitioners throughout the organization.
Prior to joining Moody’s, Markowitz was a lawyer in private practice in New York City, where he worked on such diverse matters as corporate investigations, securitization transactions, corporate governance matters, licensing agreements, mergers and acquisitions, venture capital investments, securities issuances and filings, and debt transactions.
Markowitz writes frequently about compliance and ethics issues. He is a past chair of the Credit Rating Agency Constituency Group and is admitted to the Bars of the State of New York and the Commonwealth of Massachusetts (inactive).
Education and Professional Qualifications and Accreditations
J.D. – Boston University School of Law (Editor, Boston University Law Review)
A.B. – Columbia University, magna cum laude
Introduction to Corporate Compliance
It Is Time for Adult Behavior to Become Fashionable Again—Balenciaga, FTX, and the Risk of Ignoring Compliance
What Moneyball-for-Everything Has Done to Moneyball
Houston, We Still Have a Problem—What the Astros Tell Us About Compliance and Reputation Management
Typos that You Cannot Correct—the Communication Risk that Compliance Must Address
Rules for Thee, But Not for Me: A COVID-19 Lesson for Compliance Professionals
Why Data Management Can Mitigate Compliance Risk