Marketing Compliance Analyst Associate
Overview
Apollo seeks a compliance professional to lead marketing communications for its global marketing compliance program. This analyst or associate will review external communications and partner with stakeholders to ensure materials meet SEC FINRA and internal standards. The role provides exposure to investment strategies while safeguarding the firm reputation through accurate transparent communications.
What You'll Do11
- 1Review and approve marketing materials investor communications websites social media content thought leadership quarterly letters webcasts and other external communications
- 2Apply knowledge of SEC Marketing Rule FINRA Rule 2210 and other regulations during reviews
- 3Serve as day-to-day compliance contact for products strategies and business lines
- 4Partner with Product Legal Finance and Marketing teams to provide guidance on regulatory standards and disclosure requirements
- 5Identify compliance risks and recommend mitigation steps
- 6Maintain marketing metrics reporting and compliance testing processes
- 7Support development of marketing related compliance policies and procedures
- 8Monitor regulatory developments affecting marketing advertising and distribution activities
- 9Contribute to broader compliance initiatives and special projects
- 10Translate regulatory requirements into practical business guidance
- 11Manage multiple priorities in a deadline driven environment
Requirements8
- 1Bachelor’s degree or equivalent practical experience in compliance legal or regulatory roles within investment advisers broker dealers asset managers or comparable firms
- 2Working knowledge of U.S. securities laws including Investment Advisers Act of 1940 SEC Marketing Rule and FINRA advertising rules
- 3Strong analytical skills and attention to detail for assessing complex materials
- 4Ability to communicate clearly both written and verbally
- 5Experience with marketing review systems such as Red Oak or similar platforms
- 6Series 7 and/or Series 24 licenses or willingness to obtain
- 7Preference for experience reviewing materials in private equity private credit real assets insurance or registered investment products
- 8Familiarity with global marketing considerations and non-U.S. regulatory frameworks
Salary Insight
Salary not disclosed in listing
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