Senior Compliance Officer - Capital Markets

POSITION SUMMARY

Based in New York, this individual will be responsible for assisting the KKR Capital Markets CCO in executing the compliance program for the broker-dealer, as well as supporting the overall KKR compliance program.

RESPONSIBILITIES

• Review new transactions for potential conflicts of interest, and provide day-to-day guidance to the business on relevant rules and regulations as well as compliance policies and procedures
• Conduct quarterly transaction reviews including fee benchmarking and transaction memos
• Assist third party consultants with their annual review of the broker-dealer and provide regulatory examination support
• Support compliance monitoring and electronic communications surveillance programs, including the escalation and remediation of violations
• Participate in the development and execution of the annual compliance testing plan
• Maintain the operating licenses of the broker-dealer and its lending affiliates by managing reporting and filing obligations with various regulatory bodies at the state, federal and foreign levels
• Conduct AML / KYC reviews of new third party customers and trade counterparties
• Serve as lead point of contact for external KYC requests from various broker-dealer relationships
• Work closely with the Technology team to optimize processes for compliance and the business
• Assist in the development and administration of annual compliance training for business professionals
• Foster strong relationships within the broker-dealer and its affiliates, coordinate with other relevant functional groups including legal, finance, operations, client services and treasury on various matters
• Work on other projects and ad hoc assignments to support overall compliance program

QUALIFICATIONS

• 5+ years of legal and/or compliance experience at a broker-dealer, asset manager, fund distributor or other financial institution
• Experience with Surveillance, Conflicts of Interest and/or Anti-Money Laundering
• Experience and understanding of regulatory landscape and demonstrated ability to lead and implement changes
• Strong Technology skills; ability to learn various new platforms
• Understanding of FINRA and SEC Rules
• Strong relationship management skills
• Ability to prioritize and manage multiple and conflicting agendas
• High level of integrity, confidentiality and judgment

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