Marketing Compliance Professional

Position Overview

At Apollo, we’re a global team of alternative investment managers passionate about delivering uncommon value to our investors and shareholders. With over 35 years of proven expertise across Private Equity, Credit and Real Estate, regions and industries, we’re known for our integrated businesses, our strong investment performance, our value-oriented philosophy – and our people.

Apollo is seeking a Compliance Professional to join its Legal, Regulatory, Tax, and Compliance team on the Marketing Compliance vertical. The Compliance Professional will work closely with members on the team focusing on regulatory compliance issues with respect to external firm communications, including marketing, social media, investor and other third-party materials and communications. The Compliance Professional will be responsible for supporting the review and approval process of marketing materials, investor communications, websites and social posts to ensure compliance with regulatory requirements imposed by the SEC, FINRA and certain non-US regulators.  This individual will serve as the primary day-to-day contact with respect to marketing materials and other communications and documents for one or more products or business lines.

Responsibilities include understanding Apollo’s policies and procedures, business processes, investment products, and regulatory obligations, and applying that understanding to material review consistently.  This individual 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 Professional will:

• Have a strong understanding of securities laws and regulations regarding marketing, advertising and distribution activities, especially the SEC Marketing Rule and FINRA Rule 2210

• Review and approve marketing materials, investor communications, websites, social media content, thought leadership materials, and other fundraising and reporting related materials (e.g., quarterly letters, webcasts, recordings, etc.) across various products and strategies, including registered and unregistered funds, from a regulatory and compliance perspective, consistent with U.S. marketing rules and internal policies and procedures

• Collaborate with business partners across Product, Legal, Finance, and Marketing advise on content and compliance standards

• Proactively identify and assess compliance risks and trends, providing guidance on mitigating such risks across all U.S. distribution channels

• Maintain marketing metric reporting and assist with compliance testing

• Provide strategic guidance on compliance and regulatory requirements

• Assist in maintaining and developing internal policies and procedures

• Assess current regulatory guidance with respect to marketing and other related compliance matters

• Assist with other day-to-day compliance matters 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: 

• Bachelor’s degree with an excellent record of academic achievement

• 4 -6+ years of prior relevant experience in a compliance role at a registered investment adviser and/or broker-dealer

• Current FINRA Series 7 and Series 24 not required, but a plus

• Solid understanding of the securities industry and the rules and regulatory requirements related to registered investment advisers, broker-dealers, and registered investment companies, including SEC and FINRA rules regarding marketing and advertising.

• Private equity, private credit and/or insurance experience preferred

• Ability to adapt and work well within a fast-past environment; manage and prioritize competing tasks simultaneously

• Ability to transform complex compliance, legal, and business problems into commercially actionable work plans

• Confident and effective communicator

• Ability to work independently while remaining a strong team player

• Proactive time management skills and the ability to manage projects independently and to conclusion

• Strong attention to detail and exceptional analytical skills

• Substantial initiative, creativity and drive

• Knowledge of Red Oak system not required, but a plus

Pay Range

$130,000 - $190,000

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.

The contents of the qualifications and experience section of this job description are a guideline only. If an applicant can otherwise demonstrate their suitability for the role they will be considered.

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.