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Surveillance and Testing Compliance Officer

FULL TIME$153,000 - 197,000 / year
10 Year

To be eligible for this job, you must have a minimum of 120 months of practical experience in the same field. The company is open to considering applicants from outside the area for this vacancy based in Atlantic, provided that they meet the qualifications listed. January 11, 2024 is when the job opening for the Surveillance and Testing Compliance Officer position was released, and it will end on April 10, 2024. If you're looking for a job that offers more flexibility, full time work might be a good fit for you. The chosen candidate for this job will be granted a salary of $153,000 - 197,000 / year.


KKR & Co. Inc., together with its subsidiaries, is a leading global investment firm that offers alternative asset management and 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 The Global Atlantic Financial Group.


KKR is seeking a Compliance Officer based in either New York. This individual will be an integral part of the KKR Compliance Team with a focus on risk assessment, testing and monitoring, surveillance, and regulatory management including policies, procedures, and compliance programs. The role reports to the Private Markets Deputy Chief Compliance Officer and Real Estate CCO.

This individual will be responsible for the development and implementation of an integrated compliance strategy for testing, surveillance, and controls to support regulatory expectations and business evolution. The individual will also help oversee the administration of KKR’s Code of Ethics and related policies and procedures. The ongoing goal will be to continuously examine the compliance structures and processes of KKR to identify gaps, enhance and refine procedures and drive operational efficiency.


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  • Directly manage, supervise, and develop team of four (4) compliance officers responsible for centralized code of ethics, testing and monitoring, surveillance and regulatory change management
  • Administration of all aspects of KKR’s Code of Ethics, including review and approval of requests related to the personal investment policy, outside business activities, gifts and entertainment, and political contributions
  • Exercise primary responsibility for KKR’s core compliance program, including execution and oversight of KKR’s testing and monitoring program, surveillance program, and all aspects relating to the preparation of annual 206(4)-7 and 38(a)-1reports
  • Coordinate global compliance team and other control groups on initiatives including surveillance, risks assessments, testing and audits
  • Provide real time advice on regulatory and internal policyissues
  • Monitor, analyze and interpret new rules and regulations, including identifying and addressing gaps between existing processes and new regulatory requirements, and participating in relevant regulatory/industry initiatives
  • Draft and revise other policies and procedures and advisory bulletins relevant to supporting the program, including relevant Compliance Manuals
  • Conduct business focused compliance training regarding new and existing regulations and firm policies
  • Analyze and prepare responses to regulatory inquiries and due diligence requests from third parties
  • Assist with SEC Exam preparedness and management


  • Minimum of 10 years of strong regulatory compliance gained within an alternative asset management environment.
  • Legal experience / background useful but not essential
  • Prior formal management experience strongly preferred
  • Enthusiasm, motivation, and the ability to be proactive.
  • Solution-oriented self-starter with high integrity.
  • Solid ability and strong desire to work as part of an effective and collaborative team
  • Ability to make sound judgements and simultaneously manage various issues and projects in a fast-paced and high-performance environment.
  • Consistent attention to detail; acts professionally regarding sensitive subjects and maintains confidentiality while exercising discretion at all times
  • Sound interpersonal skills and relationship building abilities.
  • Effective communication skills including very strong written communication skills for report writing and analysis.
  • Methodical, structured, and rigorous approach to deliver


This is the expected annual base salary range for this New York-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

$150,000—$200,000 USD

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.

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