Regulatory Exams Officer - Analyst/Associate

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 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 responding to regulatory exams and inquiries in the asset management and insurance sectors.  This role will also assist with other aspects of regulatory management, including analyzing regulatory changes, assisting with regulatory filings and surveillance.  This role reports to the Regulatory Affairs Compliance Officer.

• →Provide assistance on US and global regulatory examinations and inquiries, including overseeing activities from receipt of the initial Document Request Letter or Examination Inquiry, preparation of stakeholder interviews, through KKR’s written response to regulatory findings.
• →Collaborate with external counsel and senior management in fielding and clarifying regulatory requests in order to ensure timely delivery of appropriate and consistent responses.
• →Assist with asset management and insurance exam preparedness and management.
• →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 program, including relevant Compliance Manuals.
• →Conduct business focused compliance training regarding new and existing regulations and firm policies.
• →Coordinate with colleagues in Legal/Compliance and other control groups on initiatives including surveillance, risks assessments, testing and audits.
• →Support testing initiatives with regards to the design and implementation of KKR’s Annual Compliance Testing and Monitoring Program under Rule 206(4)-7, including drafting regulatory sections of the Annual Compliance Officer Report and identifying compliance issues that require further investigation.
• →Assist other Compliance personnel with regulatory filings.

• Strong academic credentials and a minimum of two – five years of relevant work experience in an investment management or insurance firm. 
• Familiar with regulatory affairs and ready to make contributions responding to regulatory exams and inquiries and assisting with regulatory filings and change management.
• A strong stakeholder-focused orientation with the drive and enthusiasm required to achieve results and attain internal and external stakeholder satisfaction.
• 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.
• Proficiency in PowerPoint, Microsoft Word, Excel, and other data analytics tools.
• Detail oriented, self-starter with strong presentation, verbal and written communication skills.
• 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.

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