Analyst - Core Compliance

2 months ago

Mumbai, 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.

ABOUT POSITION:

Apollo is seeking a Compliance Analyst to join its Legal, Tax, and Compliance team on the Regulatory Compliance vertical. The Compliance Analyst will work closely with members on the team focusing on regulatory compliance issues with respect to marketing and other investor/third party materials and communications. The Compliance Analyst will be responsible for supporting the review and approval process of marketing materials and investor communications, including responses to requests for proposals/information, to ensure compliance with regulatory requirements imposed by the SEC, FINRA and certain non-US regulators. Responsibilities include understanding Apollo’s policies and procedures, business processes, investment products, and regulatory obligations, and applying that understanding to material review consistently. The Compliance Analyst will also partner with and provide guidance to the business to ensure materials are appropriate for the audience and comply with internal and regulatory requirements. More specifically, the Compliance Analyst will:

·Provide support relating to the review and approval of marketing materials, due diligence responses, investor communications and other fundraising and reporting related materials (e.g. quarterly letters, webcasts, recordings, etc.) across various investment strategies from a regulatory and compliance perspective

·Manage, track, and facilitate the review and approval of submission requests within the centralized compliance database

·Maintain relative marketing material requests data and reports on a regular basis

·Provide guidance on compliance and regulatory requirements

·Assist in maintaining and developing internal policies and procedures and current regulatory guidance with respect to marketing and other related compliance matters

·Assist with other day-to-day compliance matters if/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 marketing compliance regulations and 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 the Red Oak system is a plus

·Bachelor’s degree from an accredited institution required

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.

  • Analyst - Legal Compliance

    4 weeks ago

    Mumbai, 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...

  • Compliance Program Analyst

    4 weeks ago

    Mumbai, Maharashtra, India Global Industrial Full time

    We are seeking an experienced Compliance Program Analyst to join our team at Global Industrial. As a trusted advisor, you will play a key role in ensuring the effective implementation of compliance controls and procedures within our IT operations.Key ResponsibilitiesIn this critical position, you will be responsible for:

  • Compliance Surveillance Risk Analyst

    3 weeks ago

    Mumbai, Maharashtra, India 12542 Citicorp Services India Private Limited Full time

    Citi is a leading global bank with a strong commitment to Compliance and Control. We are seeking an experienced Compliance Surveillance Risk Analyst to join our team in 12542 Citicorp Services India Private Limited.

  • Compliance Risk Analyst

    3 weeks ago

    Mumbai, Maharashtra, India 12542 Citicorp Services India Private Limited Full time

    We are seeking a Compliance Risk Analyst to join our team at 12542 Citicorp Services India Private Limited, focusing on emerging risks in the compliance department.As a Compliance Risk Analyst, you will be responsible for assessing and monitoring compliance risks, developing and implementing effective risk mitigation strategies, and ensuring adherence to...

  • Compliance Risk Analyst

    4 weeks ago

    Mumbai, Maharashtra, India 12542 Citicorp Services India Private Limited Full time

    Job OverviewCiticorp Services India Private Limited is seeking a highly skilled Compliance Risk Analyst to join its team in Mumbai. As a key member of the Independent Compliance Risk Management group, you will be responsible for analyzing and aggregating compliance risk for the franchise through applicable analytical methods and models.About the RoleThe...

  • Analyst - Compliance & Risk

    2 weeks ago

    Mumbai, India Travelex Full time

    Role purpose Why does this role exist in the organisation? Working in the Compliance and Risk Team. You will be working as an Analyst in delivering the day-to-day operations of a wide range of compliance processes being delivered from the service centre. This is a generalist role where you would be expected to get involved with all areas of the...

  • Junior Analyst

    2 weeks ago

    Mumbai, India Travelex Full time

    Role Title –Junior Analyst Role purpose Why does this role exist in the organisation? Working in the Compliance and Risk Team. You will be working alongside the C&R Manager to ensure the integrity of the day-to-day operations of a wide range of AML/KYC Compliance processes being delivered from the Shared Service Centre.  To assist with C&R process...

  • Compliance Officer

    6 months ago

    Mumbai, India Brickwork Ratings Full time

    **About Brickwork Ratings** Brickwork 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...

  • Compliance Risk Analyst

    4 weeks ago

    Mumbai, Maharashtra, India 12542 Citicorp Services India Private Limited Full time

    At 12542 Citicorp Services India Private Limited, we are looking for a highly skilled Compliance Risk Analyst to join our team. This role is based in Mumbai and offers an exciting opportunity to work with our global organization.OverviewOur company is a leading financial institution with a strong commitment to compliance and risk management. As a Compliance...

  • Analyst / Senior Analyst - Finance, Controls & Compliance

    3 weeks ago

    Mumbai, India Colgate-Palmolive Company Full time

    Relocation Assistance Offered Within CountryJob Number #163892 - Mumbai, Maharashtra, IndiaWho We AreColgate-Palmolive Company is a global consumer products company operating in over 200 countries specializing in Oral Care, Personal Care, Home Care, Skin Care, and Pet Nutrition. Our products are trusted in more households than any other brand in the world,...

  • Senior Tax Analyst

    2 weeks ago

    Mumbai, Maharashtra, India AGC Networks Limited (Black Box Limited) Full time

    Job Title: Senior Tax Analyst - GST Compliance SpecialistAbout the Role: We are seeking an experienced Senior Tax Analyst to join our Global Indirect Tax Team based in Bangalore. The successful candidate will work closely with our Vice President - Indirect Tax (Global Operations) and will be responsible for managing operational indirect taxation compliance...

  • Financial Analyst

    2 weeks ago

    Mumbai, Maharashtra, India Colgate-Palmolive Company Full time

    OverviewColgate-Palmolive Company, a global leader in consumer products, seeks a highly skilled Financial Analyst to join its team. As a key member of the finance department, you will play a critical role in ensuring compliance with company policies and procedures.About the RoleThis is an exciting opportunity for a detail-oriented and analytical individual...

  • Compliance Surveillance Intermediate Analyst

    6 months ago

    Mumbai, India 12542 Citicorp Services India Private Limited 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...

  • Business Analyst

    2 weeks ago

    Mumbai, India MUFG Global Service Full time

    MUFG Global Service is a leading financial institution with a presence in various locations. We are currently seeking an experienced Business Analyst to join our team.We offer a competitive salary of $90,000 per year, along with additional benefits and opportunities for growth and development.Job Description:The successful candidate will be responsible for...

  • Information Security Compliance Analyst

    6 months ago

    Navi Mumbai, 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...

  • Senior Process and Compliance Analyst

    3 weeks ago

    Mumbai, India QAD, Inc. Full time

    Job DescriptionThe 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 compliance...

  • Senior Risk Analyst

    2 weeks ago

    Mumbai, Maharashtra, India 12542 Citicorp Services India Private Limited Full time

    At 12542 Citicorp Services India Private Limited, we're committed to empowering our employees to make a real impact.We're currently looking for a highly skilled Senior Risk Analyst to join our team in Mumbai. As a key member of our Compliance Analytics team, you'll play a critical role in analyzing and aggregating compliance risk across the franchise.Your...

  • Compliance Officer

    2 weeks ago

    Mumbai, India SKS Enterpprises - Human Resource Planning and Management Full time

    Position Name - Compliance OfficerLocation - MumbaiExperience Range - 5+ years post qualificationMandatory Requirement:Proficient in managing core secretarial functions with a strong ability to review and interpret legal documentation effectively.Ensuring fund compliance, taking ownership of fund operations and Stakeholder and Regulatory EngagementJob Roles...

  • Compliance Officer

    2 weeks ago

    Mumbai, India SKS Enterpprises - Human Resource Planning and Management Full time

    Position Name - Compliance Officer Location - Mumbai Experience Range - 5+ years post qualification Mandatory Requirement: Proficient in managing core secretarial functions with a strong ability to review and interpret legal documentation effectively. Ensuring fund compliance, taking ownership of fund operations and Stakeholder and Regulatory Engagement ...

  • 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...