Global Wealth Solutions "GWS" Americas Compliance - Senior Analyst/Associate - Stage

TEAM OVERVIEW

KKR Global Wealth Solutions (“GWS”) provides high-quality alternative investment solutions designed to meet the needs of eligible individual investors by offering access to a broad platform of private market strategies managed by KKR’s experienced investment teams. The GWS Compliance team partners with the GWS business to ensure compliant execution of fundraising, distribution, and marketing initiatives across jurisdictions. The team also supports the establishment of robust control frameworks, governance processes, and cross-border distribution oversight to meet regional regulatory obligations and industry best practices. The GWS Americas Compliance function works closely with global compliance colleagues to ensure consistent application of regulatory standards, supervisory controls, and governance frameworks across regions.

POSITION SUMMARY

Based in Boston, MA, The GWS Americas Compliance Associate will primarily support the firm’s GWS Americas Compliance function, with responsibility for day-to-day compliance coverage of the GWS business across the region. The role will focus on providing compliance support to the GWS business on activities including, but not limited to, fundraising, marketing and client communications, and the general application of compliance policies and procedures. This individual will partner closely with GWS Sales, Product Strategy, Marketing, Legal and other regional Compliance teams, and will work collaboratively with global colleagues in EMEA and APAC to ensure consistency and alignment across jurisdictions. This role provides hands-on exposure to fundraising, distribution, and marketing compliance, with appropriate escalation to senior compliance leadership.  The role reports to the Head of GWS Compliance Americas located in NY, with meaningful interaction with global compliance colleagues.

RESPONSIBILITIES 

• • Provide practical, risk-based compliance advice on fundraising, marketing, and client engagement activities and regulatory issues across the Americas, balancing commercial objectives with regulatory expectations.
  • Support oversight of GWS Americas’ Cash Non-Cash Compensation policy, supporting fundraising, marketing and distribution activities and events across the region.
  • Execute periodic testing and monitoring programs to identify, assess, and remediate compliance risks within GWS Americas operations.
  • Assist in review of new and existing distribution partners, including the completion of onboarding and ongoing due diligence checks before securing onboarding approval from senior management.
  • Support training and awareness initiatives on regulatory developments, fundraising conduct, and cross-border compliance expectations.
  • Assist in the oversight of supervisory protocols for GWS Americas (FINRA Rule 3110), including the office inspection program.
  • Collaborate across regions to ensure global alignment on application of policies, practices, and documentation standards.
  • Assist and support the development, enhancement, and maintenance of compliance frameworks and controls, ensuring processes are effective and aligned with KKR’s global compliance standards.
  • Contribute to continuous process improvement, leveraging AI, automation and best practices to streamline compliance review and monitoring functions.
  • Assist with other aspects of broker-dealer compliance program
  • Contribute more broadly to the Capital Markets & Distribution Functional Area

QUALIFICATIONS

• Approximately 2-6 years of compliance experience within an asset manager, private wealth platform, financial institution, or regulator
• Strong understanding of FINRA rules, specifically FINRA Rules 3110 and 3220.
• Familiarity with alternative investment products and private fund distribution is a plus.
• Ability to design, implement, and maintain control frameworks and compliance monitoring programs.
• Excellent interpersonal and communication skills, with the ability to advise senior stakeholders and collaborate across global teams.
• High integrity, sound judgment, and ability to operate in a fast-paced, dynamic environment.
• FINRA S7 and S24 preferred, but not required; willingness to obtain licenses is expected
• Bachelor’s degree or equivalent; relevant professional certifications desirable.

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