Compliance - Expert Network Compliance - Professional

Job Description

COMPANY OVERVIEW TEAM OVERVIEW KKR s 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 The Expert Networks Compliance Officer will be responsible for managing and overseeing all aspects of compliance related to the day-to-day engagement of expert networks within the firm. This role involves ensuring that all interactions with expert networks adhere to regulatory requirements, internal policies, and best practices to mitigate risks and safeguard the firms reputation. ROLES & RESPONSIBILITIES Drive adherence to the policies and procedures for engaging with expert networks. Ensure policies are aligned with regulatory requirements and industry best practices. Conduct thorough due diligence on expert networks and their experts before engagement. Continuously monitor expert network engagements to ensure compliance with internal policies and regulatory standards. Manage compliance approvals upon request from expert networks, upon engagement of each expert. Chaperon calls upon requests. Maintain accurate and up to date records of all due diligence activities and engagements. Design and deliver training programs for employees on compliance issues related to expert networks. Raise awareness of the risks associated with expert network engagements and promote adherence to compliance policies. Identify, assess, and manage risks associated with expert network engagements and escalate material issues, where appropriate. Develop and implement mitigation strategies to address identified risks. Conduct regular reviews of expert network engagements to ensure ongoing compliance. Support the preparation and submission of reports to regulatory authorities and internal committees and forums as required. Work closely with other departments, including Legal, Investment, Deal teams and Operations, to ensure seamless compliance integration. Communicate compliance requirements and updates to relevant stakeholders. Investigate any potential breaches of compliance related to expert network engagements. Take appropriate action to address and resolve compliance issues. Perform testing of various controls in accordance with regulatory requirements, best practices, and industry guidance. Drive continuous improvement initiatives to enhance efficiency and effectiveness in expert networks review processes. Assist with ad hoc projects, assignments, and initiatives related to expert networks program. Represent Compliance in meetings and presentations to stakeholders, including senior management. Flexible working in APAC and EMEA shifts. QUALIFICATIONS Undergraduate or post graduate degree with strong academic credentials. Minimum of 2-3 years of relevant work experience in compliance, risk management, or a related role within the financial services industry, preferably in expert networks program. In-depth knowledge of regulatory requirements and enforcement activity related to insider dealing, conflicts of interest and expert networks (e.g., SEC, FINRA, FCA, CBOI). Experience in a private equity or asset management firm. Ability to handle sensitive, material non-public and confidential information with discretion. Exceptionally detail oriented and analytical. Self-motivated and proactive with the ability to work independently under pressure and to tight deadlines. Ability to work with teams across various global office locations. Proficiency in compliance monitoring tools and software. Excellent communication and interpersonal skills. Excellent proficiency in Microsoft Excel. Displays high intellectual curiosity and innovative mindset. Demonstrates highest levels of integrity. Focuses on delivering excellence and accountability. Strong problem-solving skills and the ability to think strategically. 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.