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Compliance Analyst

Posted Jan 17
Full Time
RemoteNew York, New York
This job is expired. See open roles here.

Position Overview

At Apollo, we’re a global team of alternative investment managers passionate about delivering uncommon value to our investors and shareholders. With over 30 years of proven expertise across Private Equity, Credit and Real Estate, regions and industries, we’re known for our integrated businesses, our strong investment performance, our value-oriented philosophy – and our people.

 

The Compliance Analyst will work closely with junior and senior members of Apollo’s Regulatory Compliance team to ensure compliance with the federal securities laws, in particular the Investment Advisers Act of 1940, as amended (the “Advisers Act”). The Analyst will gain exposure to the regulatory aspects of Apollo’s compliance program, including by supporting: investor disclosures in respect of conflicts (e.g., Form ADV); regulatory filings (e.g., 13H, 13D/G); correspondence with Apollo’s regulators; testing to assess the efficacy of internal controls; diligence questionnaires; marketing materials; distribution agreements; custody-related determinations concerning financial audits; annual investor mailings; etc. .  Apollo is looking for an individual with excellent communications skills who thrives in a fast-paced, dynamic, and collaborative environment.

 

Primary Responsibilities

  • Assist with regulatory filings required by various regulators, including the SEC

  • Provide regulatory examination support

  • Research and review new rules and regulations applicable to the firm’s business

  • Document issues and implement solutions in a timely manner after discovery and resolution

  • Participate in internal and external audits and reviews of the firm’s compliance program

  • Work collaboratively with internal and external counsel, and other internal functions to ensure appropriate compliance practices

  • Assist with general compliance matters and other projects as needed

 

Qualifications & Experience

  • Bachelor’s degree with an excellent record of academic achievement

  • 1+ years of compliance or litigation paralegal experience working in a related field

  • Strong attention to detail

  • Highly analytical;

  • Excellent Excel-based modeling skills required

  • Word and basic PowerPoint presentation skills required  

  • Interest in the federal securities  

  • Demonstrated interest in financial markets and securities market regulation

  • Ability to think critically and solve challenges with innovative solutions

  • Ability to collaborate with colleagues while exercising independent judgment

  • Strong written and verbal communication skills

  • Excellent ability to multi-task   

  • Entrepreneurial, self-guided work ethic with results-driven orientation

  • Excels in a fast-paced, rigorous work environment; effectively prioritizes and meets deadlines

 

Apollo Global Management Inc. is an equal opportunity/affirmative action employer.  The firm and its affiliates do not discriminate in employment because of race, color, religion, gender, national origin, veteran status, disability, age, citizenship, marital or domestic/civil partnership status, sexual orientation, gender identity or expression or because of any other criteria prohibited under controlling federal, state or local law.

 

Pay Range

80,000-95,000

 

 

The base salary range for this position is listed above. This position is also eligible for a discretionary annual bonus based on personal, team, and Firm performance. Compensation ranges are based on several factors including job function, level, and geographic location. Final offer amounts are determined by multiple factors including candidate experience and expertise, and may vary from the amounts listed here.