Regulatory Filings Compliance Officer

Head Of Regulatory Filings

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.

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 filings 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

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 $160,000 - $215,000 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.