Testing & Monitoring Compliance Officer

COMPANY OVERVIEW

KKR is a leading global investment firm that offers alternative asset management as well as capital markets and insurance solutions. KKR aims to generate attractive investment returns by following a patient and disciplined investment approach, employing world-class people, and supporting growth in its portfolio companies and communities. KKR sponsors investment funds that invest in private equity, credit and real assets and has strategic partners that manage hedge funds. KKR's insurance subsidiaries offer retirement, life and reinsurance products under the management of Global Atlantic Financial Group. References to KKR's investments may include the activities of its sponsored funds and insurance subsidiaries.

TEAM OVERVIEW

KKR's Compliance team is responsible for developing and enforcing compliance policies and procedures, as well as tracking ongoing regulatory changes that may affect the firm. The team is also involved in the investment process to monitor and advise on compliance with guidelines for both strategic partners and clients. The team implements and monitors the firm's compliance programs to train employees, review and analyze conflicts of interests, review non-disclosure agree agreements, etc. The Compliance team also handles the due diligence process, assists with operational support for investing activities, and maintain compliance with the firm's Code of Ethics.

POSITION SUMMARY

KKR is seeking to fill a role on its Boston based Compliance Team. This individual will be an integral part of the KKR Compliance Team with a focus on designing and executing testing and monitoring globally in the asset management and insurance sectors. The role will also assist with conducting the annual compliance risk assessment and offer support as needed for other compliance workstreams. This role reports to the Testing and Monitoring Principal.

RESPONSIBILITIES

• 206(4)-7 Testing and Monitoring

• Lead and execute compliance testing initiatives with regards to the design and implementation of KKR's Annual Compliance Testing and Monitoring Program under Rule 206(4)-7.

• Work with EMEA and APAC compliance colleagues to drive coordinated outcomes with regards to testing and monitoring initiatives.

• Ability to critically design, test and assess different policies, procedures, processes, and suggest enhancements and recommendations as appropriate. This includes investigating remediation items and analyzing issues and problem-solving.

• Leveraging technologies to execute testing and offer recommendations for any enhancements.

• Offer assistance with any other workstreams / projects as and when required.

• Risk Assessment

• Partner with US CCOs, Internal Audit, the Enterprise Risk Management Team, and applicable business stakeholders, in conducting the US Compliance Annual Risk Assessment.

• Analyze and track emerging risks, and the effect of new business initiatives and investment products on the compliance program by maintaining the KKR Investment Adviser Risk Matrices.

QUALIFICATIONS

• Minimum of five to ten years of experience in compliance, audit, and/or quality assurance at a commercial bank, direct lending platform, investment bank, or similar experience. Big 4 audit background preferred.
• A strong understanding of the US securities laws, including the Investment Advisers Act of 1940, or Insurance Regulations is preferred.
• Experience in designing and implementing compliance testing and monitoring programs.
• Ability to convey complex information to key stakeholders and senior management in concise terms.

CRITICAL COMPETENCIES FOR SUCCESS

• Preferred but not required: experience in conducting risk assessments.
• Self-starter who is independently able to manage multiple projects through to completion in a dynamic and changing environment.
• Accountable, with a strong sense of professionalism and integrity.
• Highly organized, efficient and able to work to tight deadlines in a high-pressure environment.
• Excellent interpersonal skills and the ability to build strong professional relationships at all levels, with both internal and external parties.
• Individual who is collaborative, has a positive work attitude, willing to roll up their sleeves and seeking to learn and grow with expanded responsibilities over time.
• Excellent proficiency in Microsoft Excel, PowerPoint, and other data analytics tools.
• Exceptional oral and written communication skills.

#LI-DNI

This is the expected annual base salary range for this Boston-based position. Actual salaries may vary based on factors, such as skill, experience, and qualification for the role. Employees may be eligible for a discretionary bonus, based on factors such as individual and team performance.

Base Salary Range

$115,000 - $150,000 USD

KKR is an equal opportunity employer. Individuals seeking employment are considered without regard to race, color, religion, national origin, age, sex, marital status, ancestry, physical or mental disability, veteran status, sexual orientation, or any other category protected by applicable law.