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Compliance - Testing & Monitoring - Professional
2 weeks ago
Company Overview
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.
KIOPL Management Solutions
India Private Limited provides best in class services and solutions to our internal stakeholders and clients, drive organization wide process efficiency and transformation, and reflect KKR's global culture and values of teamwork and innovation. The office contains multifunctional business capabilities and will be integral in furthering the growth and transformation of KKR.
Team Overview
KKR's
Legal & Compliance team is involved in all matters of trading, anti-corruption, conflicts of interest, etc. to protect the firm, our clients and investors, and our reputation. The team advises on compliance, oversight, monitoring, and reporting of the Firm's trading platform and activities. The Legal & Compliance team drafts and updates KKR's policies and procedures to ensure accountability for legal and regulatory requirements and adherence to our high ethical standards. The team also provides support for our employees by advising on and creating precautions for personal conflicts matters including social media usage, personal investing, outside business activities, etc.
Position Summary
We are seeking an experienced and motivated compliance professional to join our Compliance team in a Testing & Monitoring role. This individual will play a critical part in the design and execution of the firm's annual compliance testing program under Rule of the Investment Advisers Act of 1940, EU Market Abuse Regulation (MAR) Regulation along with UK FCA regulation. The ideal candidate will bring a robust understanding of financial services compliance, a detail-oriented mindset, and the ability to operate independently while collaborating effectively with global colleagues.
Roles & Responsibilities
- Lead and execute compliance testing initiatives as part of the firm's Compliance Testing and Monitoring Program, ensuring appropriate coverage across business units and risk areas.
- Design, develop, and implement testing methodologies to evaluate the adequacy and effectiveness of internal controls and compliance with applicable policies, procedures, and regulatory requirements.
- Collaborate with global compliance counterparts in AMRS, EMEA and APAC to deliver coordinated and consistent testing outcomes.
- Critically assess the design and operational effectiveness of controls; identify control weaknesses, propose enhancements, and follow up on remediation efforts.
- Analyze large and complex data sets to identify trends, anomalies, and potential compliance issues; utilize advanced Excel skills for data manipulation, analysis, and reporting.
- Prepare clear, concise, and well-supported testing documentation and reporting materials for senior compliance and business stakeholders.
- Assist in thematic reviews, special investigations, and ad-hoc testing activities as needed.
- Maintain awareness of evolving regulatory requirements and industry practices relevant to private equity and investment management.
Qualifications
- Minimum of 2-4 years of relevant experience in compliance, internal audit, or quality assurance at a commercial bank, investment bank, direct lending platform, private equity firm, or similar financial institution.
- Prior experience in a Big 4 firm's audit or advisory practice preferred.
- Strong knowledge of compliance frameworks applicable to SEC-registered investment advisers, particularly under Rule , EU Market Abuse Regulation (MAR) Regulation along with UK FCA regulation.
- Demonstrated ability to work effectively with large data sets and advanced proficiency in Excel, including use of pivot tables, Lookups, complex formulas, and data visualization tools.
- Exceptional analytical, problem-solving, and investigative skills, with the ability to distill complex findings into actionable insights.
- Outstanding oral and written communication skills, including the ability to prepare high-quality documentation and present findings to stakeholders.
- Proven ability to work independently, manage multiple priorities, and meet deadlines in a fast-paced environment.
- Collaborative and entrepreneurial mindset with a positive work ethic and a strong desire to learn and grow with increased responsibility over time.
- Strong interpersonal skills and the ability to work comfortably across teams and jurisdictions.
- Experience working with compliance monitoring tools or platforms is an advantage.
- Demonstrated ability to identify and transform manual testing processes into automated solutions using tools such as Python, Tableau, or other relevant automation frameworks.
- Experience in building or supporting data-driven testing approaches, developing automated checks, and improving overall testing efficiency will be considered a strong plus.
KKR is an equal opportunity employer. Individuals seeking employment are considered without regard to race, color, religion, national origin, age, sex, marital status, ancestry, physical or mental disability, veteran status, sexual orientation, or any other category protected by applicable law.
