Position Overview
Apollo is seeking a Compliance Analyst to join its Legal, Tax, and Compliance team on the Investment Compliance vertical. The Compliance analyst will work closely with junior and senior members of Apollo’s Compliance team to ensure compliance across Apollo’s global investment platform. The analyst will primarily focus on investment compliance matters and implementation of controls relating to, among others, the restricted list and handling of MNPI (“control room”), expert networks, trade surveillance, conflicts of interest, investment practices, and compliance with the applicable regulations such as the Advisers Act. Apollo is looking for an individual with excellent analytical and communications skills who thrives in a fast-paced, dynamic, and collaborative environment.
Primary Responsibilities
Help implement control room systems and technology designed to maintain the Firm’s restricted list
Maintain relative control room data and report on a regular basis
Act as a key contact in conflicts clearance and trade reviews
Assist with principal transactions and act as a key contact with external vendors related to the process
Streamline trade surveillance processes
Assist with the oversight of expert network firms
Document issues and implement solutions in a timely manner after discovery and resolution
Assist in maintaining and developing internal policies and procedures and current regulatory guidance with respect to MNPI controls, investment practices, conflicts of interest and other related compliance matters
Assist with general compliance matters and other projects, as needed
Qualifications & Experience
Apollo seeks to hire individuals who are highly motivated, intelligent, energetic and can quickly assess a situation and exercise sound business judgment. More specifically, the successful candidate should have:
Prior experience in a compliance role is a plus
Familiarity with and/or interest in investment compliance regulations and control room requirements
Ability to adapt and work well within a fast-past environment; manage and prioritize competing tasks simultaneously
Confident and effective communicator
Ability to work independently while remaining a strong team player
Strong attention to detail and analytical skills
Substantial initiative, creativity and drive
Strong proficiency level with MS Word, Excel, PowerPoint and Adobe
Knowledge of Bloomberg Terminal is a plus
Bachelor’s degree from an accredited institution required
Pay Range
Apollo Global Management, Inc. (together with its subsidiaries and affiliates) is committed to championing opportunity.
The firm and its affiliates comply with applicable discrimination and equal opportunities legislation in all of its jurisdictions and do not discriminate in employment or recruitment based on race, color, religion, gender, national origin, veteran status, disability, age, citizenship, marital or domestic/civil partnership status, sexual orientation, gender identity or expression or any other protected characteristic under applicable law.
The contents of the qualifications and experience section of this job description are a guideline only. If an applicant can otherwise demonstrate their suitability for the role they will be considered.
The base salary range for this position is listed above. This position is also eligible for a discretionary annual bonus based on personal, team, and Firm performance. Compensation ranges are based on several factors including job function, level, and geographic location. Final offer amounts are determined by multiple factors including candidate experience and expertise, and may vary from the amounts listed here.