Public Vehicle/Registered Investment Company Compliance Analyst
Posted on 10/20/2023
INACTIVE
KKR

5,001-10,000 employees

Global investment firm
Company Overview
Through an integrated approach across our firm, KKR seeks to provide innovative financial solutions and investment vehicles to help their fund investors achieve their investment goals.
Financial Services
Real Estate

Company Stage

Series C

Total Funding

$17.6B

Founded

1976

Headquarters

New York, New York

Growth & Insights
Headcount

6 month growth

15%

1 year growth

45%

2 year growth

109%
Locations
New York, NY, USA
Experience Level
Entry
Junior
Mid
Senior
Expert
Desired Skills
Management
Data Analysis
Excel/Numbers/Sheets
PowerPoint/Keynote/Slides
CategoriesNew
Legal & Compliance
Product
Requirements
  • Ability to make pragmatic decisions and recommendations to business constituents and firm management
  • Ability to coordinate with other relevant functional groups including Legal, Treasury, Client Solutions Group, Finance and Operations and will interface regularly with KKR on legal and compliance matters
  • 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
  • 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
  • Excellent proficiency in Microsoft Excel, PowerPoint and other data analytics tools
  • 2-3 years of experience in investment company and advisory compliance
  • Experience and understanding of '40 Act regulatory landscape, examinations and areas of enforcement priorities
  • Experience and understanding of SEC Investment Company and Investment Advisers Act Rules
  • Strong interpersonal and relationship management skills with an ability to partner with front office executives to implement change
  • High level of integrity, confidentiality and judgment
Responsibilities
  • Support KKR Public and Private Markets' SEC exemptive relief program including ownership of corresponding processes, controls and documentation including investment allocation oversight and monitoring
  • Assistance in preparation and distribution of board and committee materials and minutes for KKR Public and Private Markets' 40 Act Funds
  • Assist with onboard and regulatory governance requirements (charter requirements, NYSE, etc.)
  • Work with broader Compliance team to build technology solutions to aid in execution of the relevant components of the '40 Act Platform
  • Maintain regulatory filings calendar for the 40 Act Funds, including assistance in filing of board and executive officer Form 3s and Form 4s and other regulatory filings
  • Coordination of 38(a)-1 compliance testing and monitoring program across KKR Public and Private Markets '40 Act Funds
  • Perform reviews of Service Providers and Advisor investment guideline reporting
  • Preparation of compliance reporting to Board (quarterly CCO Report, annual 38(a)-1 compliance report)
  • Assist on affiliated transaction documentation and reporting
  • Stay abreast of '40 Act regulatory matters and assist with exam preparedness efforts
  • Filing and organization of fund legal documents and materials, including organization and maintenance of shared drives and Box folders
  • Assist with drafting, updating and maintaining 40 Act Funds compliance policies and procedures