Apollo

3 months ago

Marketing Compliance Analyst/Associate

✓ Verified Job

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Source: Company careers pageValidated by: Fursa AI

Last checked: 22 hours agoStatus: Live

Job Summary

A role within Apollo's Legal, Regulatory, Tax & Compliance team focused on reviewing external marketing communications to ensure regulatory compliance and alignment with firm standards. You will collaborate with Product, Legal, Finance, and Marketing to provide practical regulatory guidance, monitor developments, and maintain marketing controls across investment strategies and distribution channels.

Location: New York

Workplace: Onsite

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Key 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 SEC Marketing Rule, 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

Pay and Benefits

Salary: USD 100,000 - 120,000 annually

Key Requirements

•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

Experience:2-6 yearsFinanceAsset managementInvestment adviserBroker-dealer

Education:Bachelor's

Skills:CommunicationAttention to detailProblem-solvingTeamworkTime management

Certifications:FINRA Series 7FINRA Series 24

Languages:English

Company Brief

Apollo

Global alternative investment manager specializing in private equity, credit, and real assets, managing capital for institutional and individual investors across multiple strategies and geographies.

Industry: Asset Management

Company Size: Enterprise (1,001+ employees)

Revenue: USD 1B+

Growth: Public Company

Valuation: Public Company (Market Cap in USD)

Funding: IPO / Publicly Listed

Headquarters: New York, United States

Founded: 1990

Website LinkedIn

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Apollo

3 months ago

Marketing Compliance Analyst/Associate

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 22 hours agoStatus: Live

Job Summary

Location: New York

Workplace: Onsite

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Key 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 SEC Marketing Rule, 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

Pay and Benefits

Salary: USD 100,000 - 120,000 annually

Key Requirements

•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

Experience:2-6 yearsFinanceAsset managementInvestment adviserBroker-dealer

Education:Bachelor's

Skills:CommunicationAttention to detailProblem-solvingTeamworkTime management

Certifications:FINRA Series 7FINRA Series 24

Languages:English

Company Brief

Apollo

Global alternative investment manager specializing in private equity, credit, and real assets, managing capital for institutional and individual investors across multiple strategies and geographies.

Industry: Asset Management

Company Size: Enterprise (1,001+ employees)

Revenue: USD 1B+

Growth: Public Company

Valuation: Public Company (Market Cap in USD)

Funding: IPO / Publicly Listed

Headquarters: New York, United States

Founded: 1990

Website LinkedIn