Base: $100,000 - $120,000; bonus: eligible for dis...
Sec marketing rule knowledge
Finra rule 2210 expertise
Investment advisers act of 1940 understanding
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 during 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 understanding
Marketing material review experience
Regulatory disclosure assessment
Nice-to-have
Private equity product experience
Global marketing regulatory awareness
Red Oak workflow system familiarity
Strong analytical and communication skills
Ability to translate regulations into guidance
Key Requirements
Bachelor's degree or equivalent practical experience
2–6 years of compliance or legal experience
Working knowledge of U.S. securities laws
FINRA Series 7 and/or Series 24 licenses preferred
Willingness to obtain required licenses if not held