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Analyst - Core Compliance
Athene Holding
posted 2mon ago
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Job Description
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
Employment Type: Full Time, Permanent
Functional Areas: Other
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