Analyst - Core Compliance
3 weeks ago
Position Overview
ABOUT APOLLO
Apollo is a high-growth, global alternative asset manager. In our asset management business, we seek to provide our clients excess return at every point along the risk-reward spectrum from investment grade to private equity with a focus on three investing strategies: yield, hybrid, and equity. For more than three decades, our investing expertise across our fully integrated platform has served the financial return needs of our clients and provided businesses with innovative capital solutions for growth. Through Athene, our retirement services business, we specialize in helping clients achieve financial security by providing a suite of retirement savings products and acting as a solutions provider to institutions. Our patient, creative, and knowledgeable approach to investing aligns our clients, businesses we invest in, our employees, and the communities we impact, to expand opportunity and achieve positive outcomes.
OUR PURPOSE AND CORE VALUES
Our clients rely on our investment acumen to help secure their future. We must never lose our focus and determination to be the best investors and most trusted partners on their behalf. We strive to be:
The leading provider of retirement income solutions to institutions, companies, and individuals.
The leading provider of capital solutions to companies. Our breadth and scale enable us to deliver capital for even the largest projects – and our small firm mindset ensures we will be a thoughtful and dedicated partner to these organizations. We are committed to helping them build stronger businesses.
A leading contributor to addressing some of the biggest issues facing the world today – such as energy transition, accelerating the adoption of new technologies, and social impact – where innovative approaches to investing can make a positive difference.
We are building a unique firm of extraordinary colleagues who:
Outperform expectations
Challenge Convention
Champion Opportunity
Lead responsibly
Drive collaboration
As One Apollo team, we believe that doing great work and having fun go hand in hand, and we are proud of what we can achieve together.
OUR BENEFITS
Apollo relies on its people to keep it a leader in alternative investment management, and the firm's benefit programs are crafted to offer meaningful coverage for both you and your family. Please reach out to your Human Capital Business Partner for more detailed information on specific benefits.
POSITION OVERVIEW:
Join Apollo and become part of a community of exceptional individuals dedicated to a culture of excellence and collaboration. We prioritize long-term investment in our people and are committed to supporting their development throughout their careers.
As a Compliance Analyst, you will collaborate closely with Apollo's Compliance team to ensure regulatory compliance across our global investment platform. This role offers exposure to various aspects of Apollo's compliance program, with a primary focus on (i) e-communications surveillance, (ii) personal trading compliance, and (iii) testing policies, procedures, and controls within the firm.
PRIMARY RESPONSIBILITIES:
Conduct timely reviews of electronic communications (including emails and instant messages) to identify those requiring further investigation, and escalate such communications to the appropriate Compliance team member for further action.
Provide trade clearances and address employee inquiries under Apollo's Personal Trading policy.
Generate regular reports related to the electronic communications surveillance program.
Participate in projects aimed at refining and enhancing the electronic communications surveillance program.
Develop plans and assist in testing controls related to various policies and procedures, including but not limited to gifts and entertainment, outside business activities, and political contributions.
Utilize strong communication skills to interact effectively with the global Compliance team.
Assist with other general compliance matters and projects as needed.
Qualifications & Experience
Bachelor's degree from a top undergraduate institution with an excellent record of academic achievement
Working knowledge of Insider trading laws and systems used for electronic message reviews preferred.
Prior work experience of 2-3 years in the financial industry
Demonstrated interest in financial markets and securities market regulation.
Ability to think critically and solve challenges with innovative solutions.
High ethical standards
Ability to collaborate with colleagues while exercising independent judgment.
Strong written and verbal communication skills
Excellent ability to multi-task and strong attention to details
Entrepreneurial, self-guided work ethic with results-driven orientation
Apollo provides equal employment opportunities regardless of age, disability, gender reassignment, marital or civil partner status, pregnancy or maternity, race, colour, nationality, ethnic or national origin, religion or belief, veteran status, gender/sex or sexual orientation, or any other criterion or circumstance protected by applicable law, ordinance, or regulation. The above criteria are intended to be used as a guide only – candidates who do not meet all the above criteria may still be considered if they are deemed to have relevant experience/ equivalent levels of skill or knowledge to fulfil the requirements of the role. Any job offer will be conditional upon and subject to satisfactory reference and background screening checks, all necessary corporate and regulatory approvals or certifications as required from time to time, and entering into definitive contractual documentation satisfactory to Apollo
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