Compliance Associate

POSITION OVERVIEW

The Compliance Associate will support the Company’s compliance program, with a particular emphasis on the Advertising and Marketing Review function of our asset management and insurance businesses.  The position will also support other areas of the KKR compliance program such as private placement filings, lobbyist disclosures, reporting, RFPs, DDQs, social media, and additional aspects of program management.

The Senior Compliance Officer – Marketing Review will join the Compliance team in Boston, MA, and must be comfortable working with a geographically dispersed team.

IDEAL EXPERIENCE

This Associate should bring a minimum of at least three years conducting marketing/advertising review for a broker-dealer, independent marketing organization, asset management firm, or an insurance carrier (preferably annuity). Ideal candidates would bring experience in the alternative asset management space including private equity, private credit, interval funds, etc., as well as insurance.

RESPONSIBILITIES

• Build and maintain strong relationships within the Compliance, Legal, Product, and Marketing Departments on a global basis
• Build and maintain strong relationships with internal customers striving always to find business-friendly but compliant solutions to daily work.
• Be an active contributor and collaborator on daily tasks and larger projects, as assigned.
• Understand KKR and Global Atlantic’s business processes, products and regulatory obligations and apply that understanding to tasks assigned.
• Support management and team and actively contribute to a positive work environment that is collaborative and encouraging.
• Identify and recommend process improvements that reduce workloads and improve quality for the existing process.
• Establish strong working relationships within the broader KKR organization.
• Seek out knowledge and provide prompt and accurate responses to inquiries.
• Help to identify and develop AI tools and workflows

QUALIFICATIONS

• Required: Have or obtain shortly after starting FINRA Series 7 & 24 licenses.
• Bachelor’s Degree (or relevant work experience equivalent).
• At least 3 years in a financial services role (preferably in broker-dealer, investment advisor, alternative asset manager, insurance company, or independent marketing organization (IMO).
• Ability to make decisions, use independent judgment, establish priorities and work effectively on multiple initiatives concurrently while maintaining strict attention to detail.
• Experienced communicator (written and oral).
• Ability to work with a geographically dispersed team.
• Capacity to consider, process and filter large amounts of complex information quickly and identify appropriate actions in a fast-paced environment.
• Ability to work across enterprises and present complex matters to internal colleagues, management, or business leaders.
• A willingness to accept directions from leaders and peers.
• A strong desire to work well with others.
• Strong communication skills, work ethics and high level of personal integrity and accountability
• Self-starter and have a desire for knowledge.
• Business knowledge and acumen.
• Demonstrates the ability to use sound judgment and discretion regarding confidential information.