Position OverviewApollo is seeking an Analyst or Associate to join the Compliance team within Legal, Regulatory, Tax & Compliance. This role will support the firm's global marketing compliance program by reviewing external communications and partnering with business stakeholders to ensure materials meet regulatory requirements and Apollo's internal standards.
The position offers broad exposure to Apollo's investment strategies and distribution channels and plays a critical role in safeguarding the firm's reputation by ensuring communications are accurate, transparent, and aligned with applicable regulations.
Primary Responsibilities - Review and approve marketing materials, investor communications, websites, social media content, thought leadership, quarterly letters, webcasts, and other external communications to ensure compliance with applicable regulatory requirements and firm policies
- Apply a working knowledge of the U.S. Securities and Exchange Commission (SEC) Marketing Rule, Financial Industry Regulatory Authority (FINRA) Rule 2210, and other relevant regulations in the review process
- Serve as a day-to-day compliance contact for designated products, strategies, or business lines with respect to marketing and external communications
- Partner with Product, Legal, Finance, and Marketing teams to provide clear, practical guidance on regulatory standards and disclosure requirements
- Identify potential compliance risks or trends in marketing practices and escalate or recommend mitigation steps, as appropriate
- Support the maintenance of marketing metrics, reporting, and compliance testing processes
- Assist in the development, enhancement, and documentation of marketing-related compliance policies and procedures
- Monitor and assess regulatory developments and guidance impacting marketing, advertising, and distribution activities
- Contribute to broader compliance initiatives and special projects, as needed
Qualifications & Experience- Bachelor's degree or equivalent practical experience
- 2-6 years of relevant experience in a compliance, legal, or regulatory role within an investment adviser, broker-dealer, asset manager, or comparable financial institution
- Working knowledge of U.S. securities laws and regulations applicable to marketing and advertising, including the Investment Advisers Act of 1940, the SEC Marketing Rule, and FINRA advertising rules
- Strong analytical skills and attention to detail, with the ability to assess complex materials for regulatory and disclosure considerations
- Clear and confident written and verbal communication skills
- Ability to manage multiple priorities and deliver high-quality work in a deadline-driven environment
Preferred- Experience reviewing marketing materials for private equity, private credit, real assets, insurance, or registered investment products
- Familiarity with global marketing considerations and non-U.S. regulatory frameworks
- Experience with marketing review or workflow systems (e.g., Red Oak or similar platforms)
- FINRA Series 7 and/or Series 24 licenses, or willingness to obtain
- Demonstrated ability to translate regulatory requirements into practical, business-oriented guidance
Pay Range$100,000 - $120,000
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.
