Leverage Credit Compliance Officer - Assistant Vice President/Vice President
About The Position
KKR Credit Advisors (US) LLC (KKR Credit) is a SEC registered investment advisor focused on credit investing across the spectrum including public markets and private investment opportunities. With a team of over 120 investment professionals in New York, San Francisco, Orlando, London, Dublin, Hong Kong, Singapore, Sydney, and Mumbai, the KKR Credit team has a global reach with a local presence. KKR Credit is seeking a Compliance Officer (“Officer”) to be based in San Francisco. This is a unique opportunity to join a best-in-class Compliance Team and work closely with the KKR Credit Compliance team to provide oversight and monitoring to the Firm’s trading platform and activities. The role will require extensive coordination and collaboration with Compliance team members in other KKR offices, including New York, Dublin, London and across Asia. The role reports to the KKR Public Markets Deputy-Chief Compliance Officer.
Requirements
- Minimum of +7 years of strong regulatory compliance gained within an alternative asset management environment
- Enthusiasm, motivation, curiosity and the ability to be proactive
- Solution-oriented self-starter with high integrity
- Strong project management skills
- Strong desire and ability to work as part of a collaborative team
- Ability to make sound judgements and simultaneously manage various issues and projects in a fast-paced environment
- Consistent attention to detail
- Excellent interpersonal skills and relationship building abilities
- Effective written and oral communication skills
- Advanced computer literacy including Microsoft Office (PowerPoint and Excel)
Responsibilities
- Identifying, reviewing and advising on conflicts of interest related to proposed transactions
- Contribute to governance, reporting and oversight of the Credit business
- Provide real time advice to business personnel on regulatory and internal policy issues
- Provide compliance oversight, monitoring and reporting to Compliance and senior management, implementing policies and procedures as relevant
- Advise on and further compliance on 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, identify and address any gaps between existing processes and new regulatory requirements
- Draft policies and procedures and advisory bulletins
- Conduct business focused compliance training regarding new and existing regulations and firm policies
- Liaise with internal and external audit teams and internal finance, operations and audit teams to perform periodic risk-assessments firm wide on regulatory and legal matters to identify areas of enhancement for compliance testing regime and regulatory exam preparedness
- Assist with facilitation of pre-trade compliance controls and analysis, including management of the Firm’s security master and sensitive data points
- Assist with review of re-allocations, best execution activity and trade overrides
- Assist in identification and remediation of trade and operational-related trade errors and issues
- Provide assistance in onboarding new client accounts
- Management of Portfolio and Client Restricted Lists (i.e. affiliated investments)
- Play a key role in the identification and implementation of technical solutions that drive efficiencies
Benefits
- Discretionary bonus, based on factors such as individual and team performance
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
