Compliance Associate

KKR; Toronto; On-site; CAD 80,000 - 110,000; Full time

Job summary

A leading company in the investment management sector is seeking a regional compliance professional based in Toronto. The role involves supporting compliance programs in EMEA, managing requests, training employees, and interacting with regulators. Ideal candidates will have significant experience in compliance within financial institutions and a foundational knowledge of regulatory frameworks.

Qualifications

• Bachelor’s degree (or equivalent) required.
• 2+ years of experience in compliance at a financial institution.
• Knowledge of FCA and CBI Handbooks preferred.

Responsibilities

• Support adherence to compliance with policies and procedures.
• Assist with regulatory reporting requirements and monitoring.
• Provide training to employees on compliance matters.

Skills

Compliance knowledge

Regulatory understanding

Analytical skills

Communication

Problem-solving

Education

Bachelor’s degree

Professional qualifications

Job description

We are seeking a regional compliance professional based in Dublin. This position will be deputising for direct reports of the Chief Compliance Officer Ireland MLRO, with responsibility for aspects of the the compliance programme in Europe and the Middle East (including, providing general compliance and regulatory support for KKR’s businesses throughout our 9 offices in EMEA and providing transactional support to deal teams on investments/divestments).

The candidate will be familiar with and ready to make contributions to developing technology solutions, training business partners, regulatory change management, providing advice, issuing procedural approvals, testing and risk assessment. Experience with MiFID and Insider Trading regulation a distinct advantage.

Responsibilities (including but not limited to):

Internal Compliance:

• Support adherence to compliance with policies and procedures and execution of the regional compliance monitoring programme.
• Contribute to policies and procedure annual update drafting.
• Assist with execution on strategic and consistent approaches to compliance reviews, issues and/or concerns to minimise the firm’s exposure.
• Assist with preparing training materials and provide in-person compliance training to KKR employees and new joiners
• Manage incoming requests/queries, responding to compliance requests and questions on regional and global compliance policies and procedures,
• Assist internal audit in periodic reviews
• Coordinate with colleagues in Legal/Compliance and other control groups on initiatives including surveillance, policy maintenance, risks assessments, annual testing and audits.
• Maintenance of accurate records and details required to prepare management and other reporting.
• Participate internal investigations.
• Play an active role in EMEA Compliance function administration, organising team meetings, preparing team meeting agendas and presenting updates.

Regulatory:

• Assist with regulatory liaison matters, including information requests, thematic reviews and general enquiries (incl FCA, DFSA, CMA).
• Support oversight of policies and procedures related to registered / licensed persons in EMEA (including under SMCR in the UK) to ensure they are in compliance with regulatory requirements.
• Monitor ongoing regulatory changes to businesses and report on changes to the wider EMEA Compliance function.
• Assist with regulatory reporting requirements, including coordination of internal data gathering, review and preparation of responses to inquiries, as required.
• Participate in regulatory / industry initiatives relating to new regulations and other issues relevant to the investment management business.

Transactional Support:

• Maintenance of accurate records and details required to prepare management and other reporting.
• Support compliance with relevant market abuse, insider dealing rules and regulations, advising deal teams as required and taking an active role in publics markets trade review and approvals.
• Provide support to EMEA Compliance professionals transaction advisory workstreams.
• Help conduct global conflict evaluations and initiate transaction and deal consultant conflict checks.
• Support business developments and provide compliance responses/solutions to any changes.
• Facilitate investment team research by reviewing and approving Expert Network consultations. Act as the EMEA compliance contact for Expert Network vendors.

Ideal qualifications:

• Bachelor’s degree (or equivalent)
• Relevant professional / post graduate qualifications would be an advantage
• 2+ years or experience in a managerial/senior compliance role at a financial institution
• Demonstrable understanding of the UK’s FCA Handbook or the CBI Handbook
• Experience interacting with regulators, such as the UK FCA, CBI or another European financial services regulator.
• Candidates need to demonstrate knowledge and experience in dealing with regulatory frameworks in various jurisdictions across EMEA.
• Proactive, hard-working, detail and solution oriented
• Ability to oversee, mentor, and manage different stakeholders across KKR

A candidate must embody KKR’s core values, in particular, unquestioned integrity, a strong work ethic, and a commitment to teamwork and excellence.

It is essential for a candidate to be a self-starter and motivated, with the ability to multi-task, prioritize, and work both independently and within teams.

KKR is an equal employment opportunity employer, and does not discriminate on the basis of race, color, religion, gender, sexual orientation, marital status, age, disability, national origin, citizenship, or any other protected characteristic. KKR is committed to diversity in its most inclusive sense.