Global Atlantic
Overview
Investment Management Compliance Officer at Global Atlantic. About Global Atlantic
Global Atlantic is a leading provider of retirement security and investment solutions with operations in the U.S., Bermuda, and Japan. As a wholly-owned subsidiary of KKR (NYSE: KKR), Global Atlantic combines deep insurance expertise with KKRs investment capabilities to deliver long-term financial security for millions of individuals worldwide. With a broad suite of annuity, preneed life insurance, reinsurance, and investment solutions, Global Atlantic helps people achieve their financial goals with confidence. For more information, please visit www.globalatlantic.com. Position Summary
Based in New York (30 Hudson Yards), this individual will be responsible for supporting various aspects of the KKR Insurance, Private Markets and Public Markets Compliance Programs. KKR Insurance includes the insurance business of Global Atlantic Financial Group. KKR Private Markets includes KKRs traditional private equity business, as well as investments in real assets in the real estate, infrastructure, and energy sectors. KKR Public Markets includes credit investing across traded credit, direct lending, asset based finance and strategic investing. The role will be primarily focused on the investment aspects of KKR Insurance and will include close coordination with stakeholders across KKR Insurance, Public Markets and Private Markets. The role dual reports to the Deputy Chief Compliance Officers for KKR Private Markets and KKR Public Markets. Responsibilities
Provide real time advice to business personnel on regulatory and internal policy issues. Contribute to governance, reporting and oversight of the KKR Insurance business. Provide compliance oversight, monitoring and reporting to Compliance and senior management, implementing policies and procedures as relevant. Identify, review and advise on conflicts of interest related to proposed transactions and business arrangements. Advise on matters relating to market abuse, information barrier, wall crossing and conflicts of interest matters, comporting to applicable regulation and Compliance policies and procedures. Monitor, analyze and interpret new rules and regulations, and identify and address any gaps between existing processes and new regulatory requirements. Close coordination and partnership with Legal and Compliance Officers in the KKR Public Markets and Private Markets businesses. Draft policies and procedures and advisory bulletins. Conduct business focused compliance training regarding new and existing laws and regulations and firm policies. Liaise with internal and external audit teams, internal governance committees, and internal finance, operations and audit teams to perform periodic risk-assessments on regulatory and legal matters to identify areas of enhancement for compliance testing regime and regulatory exam preparedness. Advise on and contribute to regulatory filings, examination responses, and other regulatory inquiries. Qualifications
10 years of investment management compliance experience in an Investment Firm (alternatives a plus) Advanced knowledge of trading operations, credit and loans, and hands on experience with equity offerings of all kinds Bachelors degree in Law, Business, or related field, preferably with an advanced degree CRITICAL COMPETENCIES FOR SUCCESS
Ability to understand complex investments and identify areas of Compliance focus. Team-player who enjoys working in a collaborative and collegial environment with the desire to learn. Robust understanding of the insurance regulatory environment. Ability to identify commercial and risk-aware solutions to unprecedented questions. Capable of articulating a researched perspective to senior stakeholders. Ability to proactively identify and coordinate initiatives relating to new regulations and other issues relevant to the insurance and asset management industries. Excellent verbal and written communication skills to efficiently draft policies and procedures and respond to regulatory inquiries that support the business. Consistent attention to detail while acting professionally, exercising discretion regarding sensitive subjects, and maintaining confidentiality at all times. Comfortable operating in a fast-paced environment with competing priorities. Ability to manage multiple demands and projects while prioritizing time efficiently and remaining attentive to detail. Highly organized self-starter with experience tracking progression to effectively manage expectations across multiple stakeholders. Compensation
The base salary range for this role is $150,000 $200,000 USD. Global Atlantics base salary range is determined through an analysis of similar positions in the external labor market. Base pay is just one component of Global Atlantics total compensation package for employees and at times we hire outside the boundaries of the salary range. Other rewards may include annual cash bonuses, long-term incentives (equity), generous benefits (including immediate vesting on employee contributions to a 401(k), as well as a company match on your contributions), and sales incentives. Actual compensation for all roles will be based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer. Compensation for our more senior positions have a larger component of short-term cash bonus and long-term incentives. Workplace
Our employees are in the office 5 days per week in New York and 4 days per week in all other offices. If you have questions on this policy or the application process, please reach out to benefits@gafg.com Seniority level
Mid-Senior level Employment type
Full-time Job function
Finance and Sales Industries
Insurance
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Investment Management Compliance Officer at Global Atlantic. About Global Atlantic
Global Atlantic is a leading provider of retirement security and investment solutions with operations in the U.S., Bermuda, and Japan. As a wholly-owned subsidiary of KKR (NYSE: KKR), Global Atlantic combines deep insurance expertise with KKRs investment capabilities to deliver long-term financial security for millions of individuals worldwide. With a broad suite of annuity, preneed life insurance, reinsurance, and investment solutions, Global Atlantic helps people achieve their financial goals with confidence. For more information, please visit www.globalatlantic.com. Position Summary
Based in New York (30 Hudson Yards), this individual will be responsible for supporting various aspects of the KKR Insurance, Private Markets and Public Markets Compliance Programs. KKR Insurance includes the insurance business of Global Atlantic Financial Group. KKR Private Markets includes KKRs traditional private equity business, as well as investments in real assets in the real estate, infrastructure, and energy sectors. KKR Public Markets includes credit investing across traded credit, direct lending, asset based finance and strategic investing. The role will be primarily focused on the investment aspects of KKR Insurance and will include close coordination with stakeholders across KKR Insurance, Public Markets and Private Markets. The role dual reports to the Deputy Chief Compliance Officers for KKR Private Markets and KKR Public Markets. Responsibilities
Provide real time advice to business personnel on regulatory and internal policy issues. Contribute to governance, reporting and oversight of the KKR Insurance business. Provide compliance oversight, monitoring and reporting to Compliance and senior management, implementing policies and procedures as relevant. Identify, review and advise on conflicts of interest related to proposed transactions and business arrangements. Advise on matters relating to market abuse, information barrier, wall crossing and conflicts of interest matters, comporting to applicable regulation and Compliance policies and procedures. Monitor, analyze and interpret new rules and regulations, and identify and address any gaps between existing processes and new regulatory requirements. Close coordination and partnership with Legal and Compliance Officers in the KKR Public Markets and Private Markets businesses. Draft policies and procedures and advisory bulletins. Conduct business focused compliance training regarding new and existing laws and regulations and firm policies. Liaise with internal and external audit teams, internal governance committees, and internal finance, operations and audit teams to perform periodic risk-assessments on regulatory and legal matters to identify areas of enhancement for compliance testing regime and regulatory exam preparedness. Advise on and contribute to regulatory filings, examination responses, and other regulatory inquiries. Qualifications
10 years of investment management compliance experience in an Investment Firm (alternatives a plus) Advanced knowledge of trading operations, credit and loans, and hands on experience with equity offerings of all kinds Bachelors degree in Law, Business, or related field, preferably with an advanced degree CRITICAL COMPETENCIES FOR SUCCESS
Ability to understand complex investments and identify areas of Compliance focus. Team-player who enjoys working in a collaborative and collegial environment with the desire to learn. Robust understanding of the insurance regulatory environment. Ability to identify commercial and risk-aware solutions to unprecedented questions. Capable of articulating a researched perspective to senior stakeholders. Ability to proactively identify and coordinate initiatives relating to new regulations and other issues relevant to the insurance and asset management industries. Excellent verbal and written communication skills to efficiently draft policies and procedures and respond to regulatory inquiries that support the business. Consistent attention to detail while acting professionally, exercising discretion regarding sensitive subjects, and maintaining confidentiality at all times. Comfortable operating in a fast-paced environment with competing priorities. Ability to manage multiple demands and projects while prioritizing time efficiently and remaining attentive to detail. Highly organized self-starter with experience tracking progression to effectively manage expectations across multiple stakeholders. Compensation
The base salary range for this role is $150,000 $200,000 USD. Global Atlantics base salary range is determined through an analysis of similar positions in the external labor market. Base pay is just one component of Global Atlantics total compensation package for employees and at times we hire outside the boundaries of the salary range. Other rewards may include annual cash bonuses, long-term incentives (equity), generous benefits (including immediate vesting on employee contributions to a 401(k), as well as a company match on your contributions), and sales incentives. Actual compensation for all roles will be based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer. Compensation for our more senior positions have a larger component of short-term cash bonus and long-term incentives. Workplace
Our employees are in the office 5 days per week in New York and 4 days per week in all other offices. If you have questions on this policy or the application process, please reach out to benefits@gafg.com Seniority level
Mid-Senior level Employment type
Full-time Job function
Finance and Sales Industries
Insurance
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