Compliance Specialist

4 weeks ago


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

About Apollo Global Management, Inc.

Apollo is a global alternative asset manager providing innovative capital solutions for growth. Our asset management business seeks to provide clients with excess return at every point along the risk-reward spectrum. We focus on three investing strategies: yield, hybrid, and equity. For over three decades, our expertise has served financial return needs of our clients and provided businesses with capital solutions.

Our Purpose and Core Values

We strive to be the leading provider of retirement income solutions, capital solutions to companies, and a leading contributor to addressing issues like energy transition and social impact. We build a unique firm of extraordinary colleagues who outperform expectations, challenge convention, champion opportunity, lead responsibly, and drive collaboration.

Job Summary:

Apollo seeks a Compliance Analyst to join its Legal, Tax, and Compliance team on the Regulatory Compliance vertical. The successful candidate will work closely with team members focusing on regulatory compliance issues with respect to marketing and other investor/third-party materials and communications.

Key Responsibilities:

  • Support the review and approval process of marketing materials and investor communications, ensuring compliance with regulatory requirements imposed by the SEC, FINRA, and non-US regulators.
  • Understand Apollo's policies and procedures, business processes, investment products, and regulatory obligations, applying that understanding to material review consistently.
  • Partner with the business to ensure materials are appropriate for the audience and comply with internal and regulatory requirements.
  • Provide guidance on compliance and regulatory requirements.
  • Maintain and develop internal policies and procedures and current regulatory guidance with respect to marketing and other related compliance matters.

Requirements:

The ideal candidate should have prior experience in a compliance role, familiarity with marketing compliance regulations, and adaptability in a fast-paced environment. A confident communicator with strong analytical skills, initiative, creativity, and drive is required. Proficiency in MS Word, Excel, PowerPoint, and Adobe is necessary. Knowledge of the Red Oak system is an advantage.

Benefits:

Apollo offers competitive compensation, commensurate with experience. The estimated annual salary range is $70,000-$100,000. Benefits include comprehensive health insurance, 401(k) plan, flexible working hours, and opportunities for professional growth.


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