Compliance - Marketing Reviews - Manager

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

This position will support KKR’s compliance program, with a particular emphasis on the Advertising and Marketing Review function of our asset management and insurance businesses KKR Compliance is responsible for supporting the Product Strategy, Sales, Marketing and other teams with review and approval of marketing materials, ensuring materials are created consistent with global regulatory standards.

ROLES & RESPONSIBILITIES

•    Review and proofread marketing materials such as pitchbooks, fact sheets, due diligence questionnaires (DDQs), investor communications, macro and asset class commentary, social media posts, advertorials, and digital/website content to ensure compliance with applicable global marketing regulations (e.g., SEC, FINRA, Insurance, FCA, ESMA, MAS, SFC, and other non-U.S. regulators) and cross-border guidance.
•    Serve as a subject matter expert on marketing and advertising compliance, providing timely and practical guidance to business stakeholders.
•    Act as a primary point of contact for marketing reviews in the APAC and EMEA region, providing timely guidance and approvals to support the prompt publication of materials. Develop a strong understanding of KKR’s (including Global Atlantic’s) investment products and strategies, as well as regulatory obligations relevant to marketing those offerings globally.
•    Partner closely with institutional and private wealth sales and product strategy teams and global marketing team to support compliant marketing initiatives.
•    Coordinate and collaborate with marketing, sales, legal, communications, and finance teams to ensure consistency and accuracy of content.
•    Support a wide range of asset classes including private equity, private credit, real assets, insurance, and leveraged credit.
•    Escalate issues appropriately to the marketing and advertising compliance leadership team and contribute to the resolution of compliance-related matters.
•    Stay current on global regulatory developments affecting marketing and advertising activities, and proactively update internal policies or practices as needed.
•    Effectively engage and communicate across all levels of the organization, including senior leadership, with a strong service mindset.

QUALIFICATIONS

•    Bachelor’s degree required; relevant compliance certifications (e.g., Series 7, 24, or 63) a plus.
•    Minimum of 6-9 years of experience in a marketing or advertising compliance role, preferably within a private equity firm, asset manager, or global financial institution.
•    Deep knowledge of U.S. and global regulatory requirements (SEC, FINRA, Insurance, FCA, ESMA, SFC, MAS, etc.) related to investment marketing and communications.
•    Strong editing, proofreading, and attention-to-detail skills; excellent written and verbal communication.
•    Experience working with cross-functional teams and managing priorities in a fast-paced, global environment.
•    Familiarity with compliance processes and controls related to private fund offerings and financial promotions.
•    Experienced communicator (written and oral).
•    Ability to work with a geographically dispersed team.
•    Capacity to consider, process and filter large amounts of complex information quickly and identify appropriate actions in a fast-paced environment.
•    A strong desire to work well with others. 
•    Strong communication skills, work ethics and high level of personal integrity and accountability
•    Self-starter and have a desire for knowledge.
•    Business knowledge and acumen.
•    Demonstrates the ability to use sound judgment and discretion regarding confidential information

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