Regulatory Filings 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 Legal and Compliance team is involved in all matters of trading, anti-corruption, conflicts of interest, etc. to protect the firm, our clients and investors, and our reputation. The team advises on compliance, oversight, monitoring, and reporting of the Firm’s trading platform and activities. The Legal & Compliance team as drafts and updates KKR’s policies and procedures to ensure accountability for legal requirements and our high standard ethical guidelines. The team also provides support for our employees by advising on and creating precautions for personal matters including social media usage, investment allocations, outside business activities, etc.

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 managing our regulatory filings program in the asset management and insurance sectors. This role will also assist with other aspects of regulatory management, including analyzing regulations to help execute regulatory change management as well as advising our testing program in response to regulatory changes and risks. This role reports to the Regulatory Affairs Chief Compliance Officer.

RESPONSIBILITIES

• Develop a governance framework for regulatory filings in the asset management and insurance sectors.
• Collaborate with internal stakeholders, external counsel and senior management in gathering, fielding, and clarifying information needed for regulatory filings in order to ensure timely delivery of appropriate and consistent responses.
• Develop a regulatory change management framework globally for the asset management and insurance sectors.
• Monitor, analyze and interpret new rules and regulations, including identifying and addressing gaps between existing processes and new regulatory requirements, and participating in relevant regulatory/industry initiatives.
• Coordinate with in-house and external counsel to monitor, and then implement responses to regulatory developments that impact the businesses, including the drafting of internal regulatory alerts for senior management review.
• Draft and revise policies and procedures and advisory bulletins relevant to supporting the regulatory flings or regulatory change management programs.
• Conduct business focused compliance training regarding changes to regulatory filings, new and existing regulations, and firm policies.
• Support and advise on testing initiatives with regards to the design and implementation of KKR’s Annual Compliance Testing and Monitoring Program under Rule 206(4)-7, including identifying compliance issues that require further investigation due to regulatory risks or changes.

QUALIFICATIONS

• A minimum of 8 – 10 years of relevant work experience in an investment management firm or law firm.
• Expertise in analyzing regulations and financial statements and ready to make contributions owning and responding to regulatory filings and regulatory change management.
• Experience with SEC regulatory filings, such as the ADV or Form PF, preferred.
• A strong stakeholder-focused orientation with the drive and enthusiasm required to achieve results and attain internal and external stakeholder satisfaction.
• Excellent interpersonal skills and the ability to build strong professional relationships at all levels, with both internal and external parties.
• Maturity, presence, sound judgment, and ability to form and express opinions effectively to cross-divisional teams including senior management.
• Proficiency in PowerPoint, Microsoft Word, Excel, and other data analytics tools.
• Detail oriented, self-starter with strong presentation, verbal and written communication skills.
• Ability to independently manage multiple projects in a collaborative manner with multiple stakeholders 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.