Compliance - Code of Ethics(Surveillance) - Senior Professional

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.

KKR Gurugram office provides best in class services and solutions to our internal stakeholders and clients, drives organization wide process efficiency and transformation, and reflects 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 Code of Ethics team sits within the Compliance function. The team is responsible for the administration of all aspects of KKR’s Surveillance and Monitoring Program including Communication Surveillance. The team broadly is under Code of Ethics as the practice area monitoring other aspects of conflict of interest around the Firm’s Personal Investment Policy and other policies and procedures designed to mitigate conflicts of interest that could arise between the Firm and its employees.

POSITION SUMMARY

The role will support the global compliance team responsible for administering the Code of Ethics. This individual will closely partner with members of the Code team in various regions to disposition employee requests and otherwise assist employees with respect to the administration of KKR’s Code of Ethics. The individual will undertake a variety of regular and ad hoc Code-related tasks.

ROLES & RESPONSIBILITIES

• Real-time and retrospective surveillance of electronic communications, including emails, instant messages, and voice recordings, using advanced surveillance tools and systems.
• Identify and analyze suspicious patterns or behaviors indicative of market abuse, insider trading, conflicts of interest, or other regulatory violations.
• Investigate alerts generated by surveillance systems, conducting thorough reviews and analysis of relevant communications and trading activity to determine the nature and severity of potential misconduct.
• Collaborate closely with Compliance, Legal, and other stakeholders to escalate and report findings, facilitate investigations, and implement remedial actions as necessary.
• Stay abreast of regulatory developments and industry best practices related to communication surveillance and market abuse detection, providing insights and recommendations for enhancing surveillance capabilities and processes.
• Contribute to the development and enhancement of surveillance policies, procedures, and training programs to promote a culture of compliance and integrity within the organization.

QUALIFICATIONS

• 4-6 years of relevant compliance experience, preferably in surveillance and monitoring.
• Familiarity with financial markets and financial instruments, including some familiarity with securities trading, strongly preferred.
• Strong understanding of relevant regulations and regulatory requirements, including but not limited to SEC, FINRA, and MiFID II will be of added advantage.
• Excellent analytical skills with the ability to interpret and analyze large volumes of data and identify anomalies or patterns indicative of potential misconduct.
• Detail- oriented with a strong commitment to accuracy and quality in all aspects of work.
• Ability to work independently, prioritize tasks effectively, and manage multiple projects simultaneously in a fast-paced environment.
• Familiarity with Code of Ethics software such as Behavox and ComplySci and other surveillance and monitoring tools are strongly preferred.
• Proficient with Microsoft Excel, PowerPoint and Word.
• Demonstrates highest levels of integrity.
• Displays team-work orientation and is highly collaborative.
• Builds strong relationships with local and global colleagues.
• Good communications skills with a focus on efficiency and responsiveness to employee and team requests.

#LI-ONSITE

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.