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KKR · 1 day ago

Compliance - 40 Act - Vice President

Boston, MA

Full-time

Onsite

Senior Level, Lead/Staff

$150K/yr - $175K/yr

8+ years exp

KKR is a leading global investment firm that offers alternative asset management and capital markets solutions. They are seeking a Compliance Vice President to support the development of compliance and regulatory programs for their 40 Act Platform, specifically focusing on public investment vehicles managed by KKR.

AdviceAsset ManagementFinancial ServicesReal EstateVenture Capital

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

Qualification

Investment company complianceSEC regulationsU.S. federal securities lawsRelationship managementData analytics toolsProfessionalismJudgmentMicrosoft ExcelMicrosoft PowerPointInterpersonal skillsProject managementIntegrityOrganizational skills

Required

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

Preferred

Experience in U.S. federal securities laws, asset management and U.S. registered funds and related regulatory issues

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