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KKR · 4 hours ago

Compliance - 40 Act - Associate

Boston

Full-time

Onsite

Mid, Senior Level

$105K/yr - $130K/yr

4+ years exp

KKR is a leading global investment firm that offers alternative asset management as well as capital markets and insurance solutions. They are seeking a Compliance - 40 Act Associate to support the compliance and regulatory program aspects of the 40 Act Platform and assist with various compliance responsibilities related to registered investment companies and public investment vehicles.

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 Regulations Knowledge40 Act Regulatory LandscapeInterpersonal SkillsProject ManagementMicrosoft ExcelMicrosoft PowerPointData Analytics ToolsJudgmentIntegrity

Required

Minimum 4-6 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

Ability to make pragmatic decisions and recommendations to business constituents and firm management

Ability to coordinate with other relevant functional groups including Legal, Treasury, Client Solutions Group, Finance and Operations and will interface regularly with KKR on legal and compliance matters

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

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

Excellent proficiency in Microsoft Excel, PowerPoint and other data analytics tools

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