Investment Management Compliance Officer

COMPANY OVERVIEW

Global Atlantic Financial Group is a leading insurance company meeting the retirement and life insurance needs of individuals and institutions. With a strong financial foundation and risk and investment management expertise, the company delivers tailored solutions to create more secure financial futures. The company's performance has been driven by its culture and core values focused on integrity, teamwork, and the importance of building long-term client relationships. Global Atlantic is a wholly-owned subsidiary of KKR, a leading global investment firm. Through its relationship, the company leverages KKR's investment capabilities, scale and access to capital markets to enhance the value it offers clients. KKR's parent company is KKR & Co. Inc. (NYSE: KKR).

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 investment due diligence process, assists with operational support for investing activities, and maintains compliance with the firm’s Code of Ethics.

 

POSITION SUMMARY

Based in New York (30 Hudson Yards), this individual will be responsible for supporting various aspects of the KKR Insurance, Private Markets and Public Markets Compliance Programs. KKR Insurance includes the insurance business of Global Atlantic Financial Group. KKR Private Markets includes KKR’s traditional private equity business, as well as investments in real assets in the real estate, infrastructure, and energy sectors. KKR Public Markets includes credit investing across traded credit, direct lending, asset based finance and strategic investing. The role will be primarily focused on the investment aspects of KKR Insurance and will include close coordination with stakeholders across KKR Insurance, Public Markets and Private Markets. The role dual reports to the Deputy Chief Compliance Officers for KKR Private Markets and KKR Public Markets.

 

RESPONSIBILITIES

• Provide real time advice to business personnel on regulatory and internal policy issues.
• Contribute to governance, reporting and oversight of the KKR Insurance business.
• Provide compliance oversight, monitoring and reporting to Compliance and senior management, implementing policies and procedures as relevant.
• Identify, review and advise on conflicts of interest related to proposed transactions and business arrangements.
• Advise on matters relating to market abuse, information barrier, wall crossing and conflicts of interest matters, comporting to applicable regulation and Compliance policies and procedures.
• Monitor, analyze and interpret new rules and regulations, and identify and address any gaps between existing processes and new regulatory requirements.
• Close coordination and partnership with Legal and Compliance Officers in the KKR Public Markets and Private Markets businesses.
• Draft policies and procedures and advisory bulletins.
• Conduct business focused compliance training regarding new and existing laws and regulations and firm policies.
• Liaise with internal and external audit teams, internal governance committees, and internal finance, operations and audit teams to perform periodic risk-assessments on regulatory and legal matters to identify areas of enhancement for compliance testing regime and regulatory exam preparedness.
• Advise on and contribute to regulatory filings, examination responses, and other regulatory inquiries.

 

QUALIFICATIONS

• 10 years of investment management compliance experience in an Investment Firm (alternatives a plus)
• Advanced knowledge of trading operations, credit and loans, and hands on experience with equity offerings of all kinds
• Bachelor’s degree in Law, Business, or related field, preferably with an advanced degree

 

CRITICAL COMPETENCIES FOR SUCCESS

• Ability to understand complex investments and identify areas of Compliance focus.
• Team-player who enjoys working in a collaborative and collegial environment with the desire to learn.
• Robust understanding of the insurance regulatory environment.
• Ability to identify commercial and risk-aware solutions to unprecedented questions.
• Capable of articulating a researched perspective to senior stakeholders.