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
Leveraged Credit Compliance Officer - Assistant Vice President/Vice President at Stage
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
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)
This is the expected annual base salary range for this San Francisco-based position. Actual salaries may vary based on factors, such as skill, experience, and qualification for the role. Employees may be eligible for a discretionary bonus, based on factors such as individual and team performance.
Base Salary Range
Assistant Vice President (AVP): $130,000 - $160,000 USD
Vice President (VP): $150,000 - $200,000 USD
$130,000 - $200,000 USD
KKR is an equal opportunity employer. Individuals seeking employment are considered without reg
Benefits
Equity / stock optionsPerformance bonus
Additional Information
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.
POSITION OVERVIEW
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.
Stage · San Francisco, CA