Compliance - 40 Act Vice President

Role Overview

Start by showing recruiters you understand the team's mission and environment.

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 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 a Compliance Vice President to support the growing KKR Public Vehicle and Registered Investment Company platform (40 Act Platform). This role entails supporting the registered investment companies, registered business development companies (“BDCs”), and other public investment vehicles managed by KKR & Co. Inc., KKR Credit Advisors (US) LLC, KKR Registered Advisor LLC and FS/KKR Advisor, LLC. Based in Boston, this individual will be responsible for assisting with the development of the compliance and regulatory program aspects of the 40 Act Program and growing platform under KKR Public and Private Markets.
A successful candidate will typically have 8+ years of experience with a demonstrated track record in the legal or compliance department of a leading financial services organization. Experience in U.S. federal securities laws, asset management and U.S. registered funds and related regulatory issues are is preferred but not required. An understanding of the US securities laws, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, and the Securities Act of 1933 is preferred but not required.
 
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 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

 
QUALIFICATIONS

8+ 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