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 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:

Apollo Insurance Solutions Group LP (“ISG”) is seeking a Compliance Analyst for its El Segundo, CA based headquarters. The Compliance Analyst reports into the Investment Compliance Team, which is primarily responsible for the oversight and management of regulatory compliance risk related to ISG’s investment and trading activities. The Investment Compliance Team ensures that the firm’s investment and trading activities are compliant with regulatory requirements, portfolio restrictions, and internal controls.

The Compliance Analyst plays an important frontline role in managing the firm’s regulatory and legal risk by monitoring daily investment and trading activities across the organization. The Compliance Analyst interfaces with the firm’s trading and investment teams to resolve pre-trade and post-trade compliance matters and escalate issues for further analysis.

Using the compliance functionality of the firm’s order management system, the Compliance Analyst monitors pre-trade and post-trade compliance with investment restrictions stipulated by a variety of sources including but not limited to our own internal policies, investment management agreements, client account guidelines, and regulatory requirements. The Compliance Analyst will also assist in maintaining and improving systems and processes related to investment and trading compliance.

Under the direction of the Principal, Investment Compliance, the Compliance Analyst will prepare routine portfolio compliance reports utilizing the firm’s order management system. The Compliance Analyst will also serve as a resource for the firm’s investment and trading teams to investigate and resolve compliance testing and reporting issues.

DUTIES & RESPONSIBILITIES

Using the firm’s order management system and manual processes, conduct pre-trade compliance monitoring and testing across portfolios by reviewing relevant restrictions, pre-clearing alerts as appropriate when generated by the compliance system, and addressing other pre-clearance requests.

Using the firm’s order management system and manual processes, conduct post-trade reviews across portfolios by reviewing portfolio holdings and transactions

Escalate issues and questions to the Investment Compliance Team and propose solutions as appropriate.

Assist with special projects as assigned by supervisor(s) on an ad hoc basis.

Qualifications & Experience

Undergraduate degree in Accounting, Business or Finance

Minimum 1+ year prior experience within investment management industry

Working knowledge and use of order management and compliance systems i.e. Aladdin, Charles River, Bloomberg, and/or thinkFolio

Ability to research issues, understand investment management agreements and investment guidelines, state insurance codes and engage informatively with investment professionals

Capable of learning quickly & independently

Ability to work in time sensitive & team environment

Highly organized with strong attention to details & accuracy

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 or Legal Officer

    6 months ago

    Mumbai, India Mangalam Placement Full time

    **Company**: Finhaat **Location** Mumbai **Experience** 6-8 Years **Key Skills** IRDA, Legal Compliances, Compliance, LLB **Position: Compliance or Legal Officer** **Qualification: LLB** **Experience: 4 to 8 years** **Location: Mumbai** **Job description** **Role & responsibilities**: Statutory compliances of Insurance business IRDAI Regulatory...

  • Legal and Compliance

    4 days ago

    Mumbai, Maharashtra, India Yugn Full time

    **Function: Legal & Compliance** **Designation: Asst. Manager / Manager - Legal & Compliance Experience**: **Location: Mumbai** **Reports To: Dept. Head** **Roles & Responsibilities**: - Liaising with the business teams for end-to-end implementation of various regulatory requirements. - Develop, maintain and update regulatory inventory repository of IRDA...

  • Legal & Compliance Officer

    2 months ago

    Mumbai, India Rockstud Capital Full time

    Company OverviewRockstud Capital is leading alternate asset management Firm based in Mumbai. Our first Fund, Rockstud Capital Investment Fund Series I is a SEBI registered Category II AIF Fund established in 2018. The Fund had a unique hybrid equity strategy of investing in Startups at Pre-Series A stage as well as in Listed Equities in India. We are...

  • Legal & Compliance

    6 months ago

    Mumbai, Maharashtra, India Serving Skill Full time

    Negotiation, Drafting and Vetting of various legal agreements such as non-disclosure agreement, Service Agreement, Distribution Agreement, IT Agreement, Marketing Agreement etc. - To draft and execute Leave and License Agreement. - To provide legal opinion to internal department viz, underwriters, claims, complaints etc. **Job Types**: Full-time,...

  • Legal and Compliance

    4 days ago

    Mumbai, Maharashtra, India Yugn Full time

    **Function: Legal & Compliance** **Designation: Asst. Manager / Manager - Legal & Compliance Experience: 8 - 10 years** **Location: Mumbai** **Reports To: Dept. Head** **Roles & Responsibilities**: - Liaising with the business teams for end-to-end implementation of various regulatory requirements. - Develop, maintain and update regulatory inventory...

  • Attorney - Legal & Compliance

    6 months ago

    Mumbai, India Mangalam Placement Full time

    **Company**: Dun & Bradstreet **Location** Mumbai **Experience** 6-8 Years **Key Skills** Enterprise Risk Management, Legal Compliances, Corporate Governance, contract management, Intellectual Property, Customer Service, Credit Monitoring **Position: Attorney - Legal & Compliance** **Qualification: LLB** **Experience: 7 to 9 years** **Location:...

  • Senior Executive

    4 weeks ago

    mumbai, India Ambit Private Limited Full time

    We are scouting for compliance and legal talent who will be responsible for all kinds of compliance relating to Broking, Depository/Research Analysts/PMS. Liaison with SEBI, Exchange and Depository.Dissemination of important regularly circulars to relevant stakeholders. Educating and conducting periodical training on regulatory guidelines.Assisting in...

  • Legal Compliance Executive

    3 months ago

    Mumbai, Maharashtra, India TYDideas Full time

    5+years experience in litigation, corporate law and contract management, Legal Compliance and Procurement - Should have in depth knowledge of various legal issues that cover contracting fundamentals, as well as exceptional skills in review, negotiating and finalize contracts, legal report and documentations. - Conducting extensive research using writing and...

  • Senior Executive

    4 weeks ago

    mumbai, India Ambit Private Limited Full time

    We are scouting for compliance and legal talent who will be responsible for all kinds of compliance relating to Broking, Depository/Research Analysts/PMS. Liaison with SEBI, Exchange and Depository. Dissemination of important regularly circulars to relevant stakeholders. Educating and conducting periodical training on regulatory guidelines. Assisting in...

  • Senior executive

    4 weeks ago

    Mumbai, India Ambit Private Limited Full time

    We are scouting for compliance and legal talent who will be responsible for all kinds of compliance relating to Broking, Depository/Research Analysts/PMS. Liaison with SEBI, Exchange and Depository. Dissemination of important regularly circulars to relevant stakeholders. Educating and conducting periodical training on regulatory guidelines. Assisting in...

  • Agm Legal

    6 months ago

    Mumbai, India Hector & Streak Full time

    Conduct & draft minutes of Board Meetings, General Meetings, Audit Committee Meeting, etc. - Draft various board resolutions and agreements - To ensure good governance and compliance in coordination with several service providers - Support in formation of new companies, subsidiaries, capitalization, re-structuring, strike-off of companies including obtaining...

  • Legal and Compliance Officer

    3 months ago

    Mumbai, Maharashtra, India TECHPAYLOGIC TECHNOLOGIES PRIVATE LIMITED Full time

    **Company**: TechPayLogic Technologies Private Limited **Contact Number**:+91 8484853305 **Address**:Samruddhi Business Square, 3rd Floor Flat No 302, Near Jalsa Lawns, Ashok Road, Nasik, Maharashtra, 422011 **Position: Accountant** **Experience: 2-3 years** **Job Location: Nashik / Mumbai** **About Us**: TechPayLogic Technologies Private Limited is a...

  • Senior Executive

    4 weeks ago

    Mumbai, India Ambit Private Limited Full time

    We are scouting for compliance and legal talent who will be responsible for all kinds of compliance relating to Broking, Depository/Research Analysts/PMS. Liaison with SEBI, Exchange and Depository.Dissemination of important regularly circulars to relevant stakeholders. Educating and conducting periodical training on regulatory guidelines.Assisting in...

  • Senior Executive

    4 weeks ago

    mumbai, India Ambit Private Limited Full time

    We are scouting for compliance and legal talent who will be responsible for all kinds of compliance relating to Broking, Depository/Research Analysts/PMS. Liaison with SEBI, Exchange and Depository.Dissemination of important regularly circulars to relevant stakeholders. Educating and conducting periodical training on regulatory guidelines.Assisting in...

  • Lead Legal

    6 months ago

    Mumbai, India SUN PHARMA Full time

    Position:  DGM - Legal & HR Compliance Function:  Human Resource Reporting to : Vice President Job Summary:  The position will be responsible to oversee HR statutory compliances and legal matters across all manufacturing sites in India. The role involves developing and implementing compliance programs, conducting audits and providing training...

  • Senior Executive

    4 weeks ago

    Mumbai, India Ambit Private Limited Full time

    We are scouting for compliance and legal talent who will be responsible for all kinds of compliance relating to Broking, Depository/Research Analysts/PMS. Liaison with SEBI, Exchange and Depository. Dissemination of important regularly circulars to relevant stakeholders. Educating and conducting periodical training on regulatory guidelines. Assisting in...

  • Senior Executive

    4 weeks ago

    mumbai, India Ambit Private Limited Full time

    We are scouting for compliance and legal talent who will be responsible for all kinds of compliance relating to Broking, Depository/Research Analysts/PMS. Liaison with SEBI, Exchange and Depository. Dissemination of important regularly circulars to relevant stakeholders. Educating and conducting periodical training on regulatory guidelines. Assisting in...

  • Senior Executive

    4 weeks ago

    Mumbai, India Ambit Private Limited Full time

    We are scouting for compliance and legal talent who will be responsible for all kinds of compliance relating to Broking, Depository/Research Analysts/PMS. Liaison with SEBI, Exchange and Depository. Dissemination of important regularly circulars to relevant stakeholders. Educating and conducting periodical training on regulatory guidelines. Assisting in...

  • Legal and Compliance

    6 months ago

    Mumbai, Maharashtra, India Serving Skill Full time

    Department - Legal & Compliance Education - Graduate LL.B., CS (will be an added advantage). Experience: 4-8 years. Position: Sr. Manager - Legal & Compliance Competencies: Analytical skills, and well versed of relevant IRDAI laws. - Approving, reviewing the advertisement related Compliances. - Uploading of Advertisement on BAP. - Handling Internal...

  • Legal and Compliance Office- Collections

    6 months ago

    Mumbai, Maharashtra, India Yubi Full time

    **Job Information**: Company **Yubi*** Industry **Financial Services*** City **Mumbai*** State/Province **Maharashtra*** Country **India*** Zip/Postal Code **400051*** **About us**: Yubi stands for ubiquitous. But Yubi will also stand for transparency, collaboration, and the power of possibility. From being a disruptor in India’s debt market...