Marketing Compliance Analyst/associate

Apollo Global Management, Inc.

Base: $100,000 - $120,000; bonus: eligible for dis...
Sec marketing rule knowledge
Finra rule 2210 expertise
Investment advisers act of 1940
The role supports Apollo's global marketing compliance program by reviewing external communications to ensure they meet regulatory requirements and internal standards

Job Summary

  • The role supports Apollo's global marketing compliance program by reviewing external communications to ensure they meet regulatory requirements and internal standards.
  • Candidates must apply working knowledge of the SEC Marketing Rule, FINRA Rule 2210, and other relevant regulations in the review process.
  • The position offers broad exposure to Apollo's investment strategies and plays a critical role in safeguarding the firm's reputation through accurate and transparent communications.

Matching Summary

The role supports Apollo's global marketing compliance program by reviewing external communications to ensure they meet regulatory requirements and internal standards.

Salary

Base: $100,000 - $120,000; Bonus: Eligible for discretionary annual bonus based on performance; Benefits: Not specified

Skills & Requirements

Must-have

  • SEC Marketing Rule knowledge
  • FINRA Rule 2210 expertise
  • Investment Advisers Act of 1940
  • Marketing material review experience
  • Regulatory disclosure assessment

Nice-to-have

  • Private equity product experience
  • Global regulatory framework familiarity
  • Red Oak workflow system usage
  • Practical business guidance translation
  • Cross-functional stakeholder partnership

Key Requirements

  • Bachelor's degree or equivalent experience
  • 2-6 years compliance experience in financial institution
  • Series 7 and/or Series 24 licenses preferred
  • Working knowledge of U.S. securities laws

Work Rights

Not specified

Tailored Resume

Cover Letter