Investment Compliance Professional

Compliance Associate

Apollo is a global alternative asset manager. In our asset management business, we seek to provide our clients excess return at every point along the risk-reward spectrum from investment grade to private equity with a focus on three investing strategies : yield, hybrid, and equity. For more than three decades, our expertise across our fully integrated platform has served the financial return needs of our clients and provided businesses with innovative capital solutions for growth. Through Athene, our retirement services business, we specialize in helping clients achieve financial security by providing a suite of retirement savings products and acting as a solutions provider to institutions. Our patient, creative, and knowledgeable approach to investing aligns our clients, businesses we invest in, our employees, and the communities we impact, to expand opportunity and achieve positive outcomes.

Come to Apollo and join a community of extraordinary people who are committed to a culture of excellence and collaboration in everything that we do. We invest in our people for the long term and are committed to supporting their development at every stage of their career.

Apollo is seeking a Compliance Associate to join its Compliance team, with a focus on trading and markets. This individual will play a key role in supporting the firm's global compliance program and ensuring adherence to regulatory requirements and internal policies across Apollo's investment platform.

Primary Responsibilities :

• Support the implementation and oversight of investment compliance controls, including :
• Restricted lists and control room functions (handling of material non-public information (MNPI)
• Trade surveillance and monitoring
• Investment allocation reviews and testing
• Management of conflicts of interest
• Oversight of expert network interactions and related practices
• Assist in ensuring compliance with applicable regulations, including the Investment Advisers Act of 1940
• Serve as go-to person for restricted list technology and related projects, responsible for overall implementation of the technology and associated project timelines, scope, budget, and KPIs
• Institute best practices in restricted list data management
• Collaborate with various business units and compliance stakeholders to identify and mitigate compliance risks
• Contribute to compliance testing, monitoring, and reporting processes
• Assist with the development and refinement of compliance policies and procedures

Qualifications & Experience :

Pay Range

130,000 - 165,000

Apollo Global Management, Inc. (together with its subsidiaries and affiliates) is committed to championing opportunity. The firm and its affiliates comply with applicable discrimination and equal opportunities legislation in all of its jurisdictions and do not discriminate in employment or recruitment based on race, color, religion, gender, national origin, veteran status, disability, age, citizenship, marital or domestic / civil partnership status, sexual orientation, gender identity or expression or any other protected characteristic under applicable law.