Compliance Analyst - Investment Compliance

Position Overview

Apollo is seeking a Compliance Analyst to join its growing global team of professionals who are focused on operationalizing Apollo’s strategic compliance program.  The Compliance Analyst will be a part of the investment compliance team and will primarily focus on compliance with the Investment Company Act of 1940 (“’40 Act”) and the Investment Advisers Act of 1940.  Apollo is looking for an individual with excellent written and communications skills who thrives in a fast-paced, dynamic, and collaborative environment.

Primary Responsibilities

• Support core compliance matters related to the ’40 Act including, but not limited to, trade compliance, risk monitoring, testing and periodic reviews, service provider oversight, regulatory filings, and review of marketing materials

• Perform ongoing validation checks of investment guideline test results and research issues with the fund operations/finance teams and service providers to validate position and other security-related data

• Maintain log of investment guideline breaches; analyze cause of investment guideline breaches and recommend remediation plan to improve process and controls

• Liaise with colleagues in connection with various initiatives and requests (distribution, product development, etc.)

• 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 and funds’ compliance program

• Assist with general compliance matters and other projects, as needed

Qualifications & Experience

• 2-3 years of experience working on ’40 Act and Investment Advisers Act of 1940 related matters preferably at an asset manager

• Bachelor’s degree from a top undergraduate institution with an excellent record of academic achievement

• Meaningfully contributes to strategic dialogue and collaborates effectively with investment teams & external partners

• Demonstrated interest in financial markets and securities market regulation

• Ability to think critically and solve challenges with innovative solutions

• Superior interpersonal skills; builds and maintains strong relationships/credibility with external counterparties

• High ethical standards

• Ability to collaborate with colleagues while exercising independent judgment

• Strong written and verbal communication skills

• Excellent ability to multi-task and strong attention to detail

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

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

Pay Range

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.