POSITION OVERVIEW

KKR is seeking to fill a role on its New York based Compliance Team.  This individual will be an integral part of the KKR Compliance Team with a focus on regulatory management, risk assessment, testing and monitoring, and surveillance, including policies, procedures, and compliance programs. This role reports to the Regulatory Affairs Compliance Officer and Counsel.

RESPONSIBILITIES

• Provide assistance on US regulatory examinations and inquiries, including overseeing activities from receipt of the initial Document Request Letter or Examination Inquiry, preparation of stakeholder interviews, through KKR’s written response to regulatory findings.
• Collaborate with external counsel and senior management in fielding and clarifying regulatory requests in order to ensure timely delivery of appropriate and consistent responses.
• Assist with SEC Exam preparedness and management.
• 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 program, including relevant Compliance Manuals.
• Conduct business focused compliance training regarding new and existing regulations and firm policies.
• Coordinate with colleagues in Legal/Compliance and other control groups on initiatives including surveillance, risks assessments, testing and audits.
• Support testing initiatives with regards to the design and implementation of KKR’s Annual Compliance Testing and Monitoring Program under Rule 206(4)-7, including drafting of the Annual Compliance Office Report and identifying compliance issues that require further investigation.
• Assist other Compliance personnel with regulatory filings.

QUALIFICATIONS

• Strong academic credentials and a minimum of five – seven years of relevant work experience in an investment management firm. 
• J.D. preferred.
• Familiar with and ready to make contributions to analyzing regulatory changes, regulatory filings and change management, and testing and risk assessments. 
• Subject matter expertise and/or substantial familiarity with relevant compliance topics.
• A strong stakeholder-focused orientation with the drive and enthusiasm required to achieve results and assume 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.
• 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.