Analyst- Compliance

1 week ago

Mumbai, Maharashtra, India Apollo Global Management, Inc. Full time

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:
Come to Apollo and join a community of extraordinary people who are committed to a culture of excellence and collaboration in everything that we do. We invest in our people for the long term and are committed to supporting their development at every stage of their career.
The Compliance Analyst will work closely with members of Apollo's Compliance team to ensure regulatory compliance across Apollo's global investment platform. The Analyst will support and gain exposure to various aspects of Apollo's compliance program, focusing primarily on (i) e-communications surveillance, (ii) personal trading compliances and (ii) testing policies, procedures, and controls implemented across control-side areas of the firm.

PRIMARY RESPONSIBILITIES:

• Timely review of electronic communications (including e-mails and IMs) in order to identify communications that require further investigation, and escalation of such messages to an appropriate member of Compliance for further investigation and/or remediation.

• Provide trade clearances and resolve employee queries under Apollo's Personal Trading policy.

• Provide regular reporting relating to the electronic communications surveillance program.

• Participate in projects to refine and enhance the electronic communications surveillance program.

• Development of plans and assistance with testing of controls relating to various policies and procedures, including but not limited to gifts and entertainment, outside business activities political contributions.

• Leverage strong communication skills to interact across the Compliance team globally.

• Assist with other general compliance matters and projects as needed

Qualifications & Experience

QUALIFICATIONS AND EXPERIENCE: (Academic, Professional, 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.

• 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.

  • Compliance Analyst

    1 week ago

    Mumbai, Maharashtra, India Morningstar Full time

    Compliance Analyst, Conflicts of interest, Global Controls – Mumbai The Team Morningstar's Conflicts of Interest team is part of the Global Control function within the Compliance department and an integral part of the Compliance program that addresses how the firms manages conflicts of interests. The team has global scope with members based in...

  • HR Compliance Analyst

    1 week ago

    Navi Mumbai, Maharashtra, India SLB Full time

    About usWe are a global technology company, driving energy innovation for a balanced planet.​Together, we create amazing technology that unlocks access to energy for the benefit of all.​Our inclusive culture is the key to our success. We collaborate with our internal community of colleagues, alumni, and our valued external partners to support each other...

  • Compliance Analyst

    1 week ago

    Mumbai, Maharashtra, India BP Energy Full time

    Entity: Gas & Low Carbon EnergyJob Family Group: Legal GroupJob Description: Let me tell you about the role This role will independently handle compliance management process and ensure a robust compliance management system for all bp India entities through regularly interacting with business and taking initiatives to develop the process further. The role...

  • Compliance Risk Management Senior Analyst

    1 week ago

    Mumbai, Maharashtra, India 23443 Citibank N.A. India - INR CCY Full time

    Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Compliance Testing and Monitoring team responsible for assessing compliance risks and controls implemented by Citi's first and second line of defense. The Compliance Risk Management Sr. Analyst performs risk-based testing of Citi's compliance risks in order to...

  • Compliance Surveillance Intermediate Analyst

    1 week ago

    Mumbai, Maharashtra, India Citi Full time

    Serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. When potentially anomalous behavior is detected, the team is...

  • Senior Process and Compliance Analyst

    1 week ago

    Mumbai, Maharashtra, India QAD Full time

    Job Description The Senior Process and Compliance Analyst will Manage process & compliance activities to implement and maintain industry best compliance and security frameworks like ISO, CSA, SSAE18 SOC, NIST, FDA, NIS, TISAX etc. Focus is to drive consistency across QAD in maintaining compliance controls and in maintaining applicable regulatory...

  • Officer - Compliance Surveillance Intermediate Analyst-Hybrid

    1 week ago

    Mumbai, Maharashtra, India Citi Full time

    The Compliance Analytics Intermediate Analyst serves as compliance risk analyst within Independent Compliance Risk Management (ICRM) responsible for analyzing and aggregating compliance risk for the franchise through the applicable analytical methods and models: establishing key measurement methods for the assessment of Compliance Risk within the Franchise...

  • Information Security Compliance Analyst

    1 week ago

    Navi Mumbai, Maharashtra, India Jio Full time

    Position: Information Security Compliance Analyst Work Location: MumbaiKey Focus area: Information Security Compliance Key Responsibilities: Identify, measure & report security compliance performance against organizational internal and external security compliance requirements Conduct cyber security internal process and technical assessments and audits...

  • Compliance Analyst

    1 week ago

    Mumbai, Maharashtra, India Interactive Brokers Full time

    Responsibilities Assist the European Compliance team in obtaining required Enhanced Due Diligence information/client documents.Communicate and follow up regularly with clients in case of any pending queries or documents.Track client responses on pending cases.Perform basic KYC documentation checks and, if necessary, request additional information.Regularly...

  • Sanctions Compliance

    1 week ago

    Mumbai, Maharashtra, India TIAA Full time

    Compliance Associate The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general...

  • Sanctions Compliance

    1 month ago

    Mumbai, Maharashtra, India Nuveen Full time

    Compliance AssociateThe Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general supervision,...

  • Sanctions Compliance

    1 week ago

    Mumbai, Maharashtra, India Nuveen Full time

    Compliance AssociateThe Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general supervision,...

  • Sanctions Compliance

    4 weeks ago

    Mumbai, Maharashtra, India Nuveen Full time

    Compliance AssociateThe Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general supervision,...

  • Compliance Audit Associate

    1 week ago

    Mumbai, Maharashtra, India Third Bridge Full time

    Company Description Third Bridge Connections provides private equity firms, hedge funds and strategy consultants with the information that they need to understand the value of their investment opportunities. Our vision for delivering deep insight and unbiased market intelligence has evolved into a business with a range of complementary services, eight...

  • Junior Analyst Supplier Compliance

    1 week ago

    Mumbai, Maharashtra, India Colgate-Palmolive Full time

    No Relocation Assistance Offered # Mumbai, Maharashtra, India About Colgate-Palmolive ` Are you looking to enrich your career with purpose and become part of a company that champions your personal and professional growth? At Colgate-Palmolive, we offer more than just a job—we offer a journey towards a fulfilling future. Seize the chance to join an...

  • Compliance Associate

    1 week ago

    Mumbai, Maharashtra, India Third Bridge Full time

    Company DescriptionThird Bridge was founded on the belief that human insights drive intelligent investment decisions.To make the right investment decisions, our clients require access to the most relevant experts and their insights - we enable this through private consultations and exclusive content drawn from expert interviews.Our clients consist of some of...

  • Compliance Associate

    1 week ago

    Mumbai, Maharashtra, India Third Bridge Full time

    Company DescriptionPlease be aware, this role is an entry level position and we will require you to be in our Mumbai office a minimum of 1 day a week.Third Bridge was founded on the belief that human insights drive intelligent investment decisions.To make the right investment decisions, our clients require access to the most relevant experts and their...

  • Compliance Analyst

    1 week ago

    Mumbai, Maharashtra, India Interactive Brokers Full time

    Responsibilities Manage multiple queues of real-time transaction and reference data alerts against sanctions/PEP/negative news watch lists administered by U.S. and international regulatory bodies. Perform complex case investigations sourcing data from multiple unrelated venues, including proprietary and open sources. Draft reporting summaries for internal...

  • Compliance Officer

    1 week ago

    Mumbai, Maharashtra, India Brickwork Ratings Full time

    About Brickwork RatingsBrickwork Ratings (BWR) is one of India's leading credit rating agencies, committed to providing the investment community with products and services needed to make informed investment decisions. Established in 2007, Brickwork Ratings, a SEBI-registered and RBI-accredited credit rating agency, has Canara Bank, a leading public sector...

  • Executive-marketing Compliance

    1 week ago

    Mumbai, Maharashtra, India KPMG India Full time

    The KPMG brand is a valuable asset to the organisation. The Marketing Compliance team helps protect the KPMG brand in India. The team works with business teams to make their marketing initiatives compliant with guidelines laid down by KPMG International. The Compliance team has an opening for a Sr. Analyst / Executive who will help achieve the team's...