Compliance Officer - Financial Crimes

THE OPPORTUNITY

KKR is seeking an experienced Financial Crime Compliance Officer to join its Global Compliance team and lead the management and oversight of the Americas anti-money laundering (AML), know-your-customer (KYC), anti-bribery and corruption, economic sanctions and terrorist financing programs.

As a senior subject matter expert and trusted advisor, this individual will translate complex regulatory expectations into practical, risk-based controls across investor onboarding, fund activity, transactions, third-party relationships and portfolio company oversight. The role will combine strategic program leadership with hands-on execution across governance, risk assessment, control design, monitoring and testing, investigations, regulatory change, management information, training and technology enablement.

The role is based in Boston and will work closely with Compliance colleagues in New York, London, Dublin, Hong Kong, Tokyo, Australia and India. The Financial Crime Compliance Officer will oversee internal and external resources, including compliance professionals, external counsel, service providers and other AML officers, in carrying out KKR’s responsibilities under its global Financial Crime Compliance Program.

The successful candidate will transition to become the Anti-Money Laundering Reporting Officer for the regulated business in the United States.

RESPONSIBILITIES

Program leadership, governance and accountability

• Lead the Americas program. Set the direction and operating rhythm for KKR’s Financial Crime Compliance Program in the Americas, aligned with the global framework and the risk profile of KKR’s businesses, products, investors, transactions and jurisdictions.
• Own the framework. Maintain and enhance the financial crime framework, including policies, standards, procedures, governance forums, escalation protocols, decision rights, roles and responsibilities, control ownership and documentation requirements.
• Drive informed governance. Develop clear management information, key risk and performance indicators, issue reporting and trend analysis for senior management and relevant governance committees, with timely escalation of material risks and control weaknesses.
• Strengthen third-party oversight. Oversee external counsel, service providers, placement agents and Transfer Agents through documented responsibilities, service standards, quality assurance, performance monitoring and escalation mechanisms.

Risk assessment, control design and assurance

• Maintain a risk-based methodology. Lead and continuously improve financial crime risk assessments covering customers and investors, products, transactions, geographies, delivery channels, third parties and legal entities; use results to prioritize controls, monitoring and resources.
• Build a clear control architecture. Define and maintain a control inventory spanning preventive, detective and responsive controls, including customer due diligence, beneficial ownership, politically exposed person and adverse media review, sanctions screening, enhanced due diligence, transaction diligence, anti-corruption controls and suspicious activity escalation.
• Establish measurable control standards. Document control objectives, frequency, ownership, evidence, thresholds, dependencies and escalation paths; identify control gaps and implement proportionate remediation plans with accountable owners and target dates.
• Oversee monitoring and testing. Direct risk-based compliance monitoring, quality assurance and periodic testing; assess control design and operating effectiveness, perform root-cause analysis, track issues to closure and support annual audits and independent reviews.
• Connect risk to action. Use findings from incidents, investigations, testing, regulatory developments and business change to refresh risk assessments, enhance controls and improve the overall effectiveness of the program.

Business advisory, onboarding and transactional due diligence

• Provide real-time advice. Advise KKR’s global businesses and external vendors on AML/KYC, anti-bribery and corruption, sanctions, terrorist financing and related financial crime risks, applying KKR policy and recognized best practices in consultation with KKR’s money laundering officers and broader Compliance team.
• Support investor onboarding. Partner with the KKR Client Service Team and investment professionals to manage AML/KYC and due diligence requirements for limited partners investing in KKR funds domiciled in Luxembourg, the United States, Cayman Islands, Canada and other jurisdictions.
• Oversee transaction diligence. Lead and support financial crime due diligence for investments, counterparties, transactions and portfolio companies, including risk-based screening, enhanced due diligence, approvals, conditions, documentation and ongoing monitoring.
• Manage higher-risk relationships. Coordinate enhanced due diligence and escalation for complex ownership structures, higher-risk jurisdictions, politically exposed persons, adverse media, sanctions exposure, intermediaries and other elevated-risk scenarios.

Screening, investigations and regulatory reporting

• Oversee sanctions and screening controls. Ensure required screening is conducted with appropriate coverage, frequency, data quality, alert handling, disposition standards, escalation and recordkeeping; coordinate with internal teams and external advisors on complex matches and restrictions.
• Lead suspicious activity investigations. Oversee case assessment, investigation, documentation and escalation of potentially suspicious activity, including coordination of reports with appropriate AML government agencies where required.
• Maintain defensible records. Ensure decisions, approvals, exceptions, investigations and regulatory reports are supported by complete, accurate and retrievable documentation, with appropriate confidentiality and retention controls.

Technology, data and operational effectiveness

• Advance technology-enabled compliance. Partner with Technology, Operations, Data and business teams to enhance KYC, screening, case management, workflow and reporting solutions, including requirements definition, testing, implementation and change management.
• Improve efficiency. Identify opportunities to standardize processes, automate, reduce manual handoffs and create consistent workflows while preserving risk-based review.

Regulatory change, engagement and culture

• Anticipate regulatory change. Participate in regulatory and industry initiatives, assess emerging requirements and translate developments into timely updates to policies, procedures, controls, systems, training and business practices.
• Support regulatory engagement. Assist in preparing responses to regulatory inquiries, examinations and other requests, and coordinate on testing and audits.
• Build capability across the firm. Design and deliver practical, role-based financial crime training for business partners and control functions, using real scenarios and lessons learned to strengthen awareness, judgment and escalation culture.
• Lead through partnership. Build trusted relationships across investment teams, the KKR Client Service, Legal, Compliance, Operations, Technology, Internal Audit and senior management; communicate clear, pragmatic and well-supported risk views.

A successful candidate will typically bring at least ten years of relevant experience and a demonstrated track record of administering and enhancing financial crime requirements across a range of products, investments and jurisdictions, including the United States, United Kingdom and European Union. The candidate should be comfortable operating both strategically and tactically: shaping frameworks and governance, advising on complex matters, challenging control execution and delivering durable improvements through technology, data, training, monitoring and risk assessment.

QUALIFICATIONS

• At least 10 years of relevant work experience, including substantial responsibility for AML/KYC and anti-corruption programs within a large investment management firm, broker-dealer or similarly complex financial institution.
• Deep subject matter expertise in U.S., U.K. and European Union AML/KYC, sanctions and anti-corruption requirements, with familiarity with other relevant jurisdictions, including the Cayman Islands.
• Demonstrated experience designing or enhancing a risk-based financial crime framework, including governance, risk assessments, policies and procedures, control inventories, monitoring, testing, quality assurance, issue management and management reporting.
• Practical experience with investor onboarding transactional due diligence, beneficial ownership, enhanced due diligence, sanctions screening, investigations, suspicious activity reporting and transaction or counterparty due diligence.
• Strong understanding of financial crime technology and data, with the ability to contribute to system design, workflow improvement, testing, implementation and control over data quality and access.
• Proven ability to lead complex initiatives, manage multiple stakeholders and deliver results in a dynamic, global and highly collaborative environment.
• Excellent written and verbal communication skills, with the maturity, presence and judgment to form and express clear opinions to cross-divisional teams and senior management.
• A stakeholder-focused mindset, strong interpersonal skills and the ability to build trusted relationships with internal and external parties at all levels.
• High standards of professionalism, integrity, accountability, organization and execution, including the ability to work independently and meet tight deadlines.
• Undergraduate degree with strong academic credentials.

 

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