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Compliance Analyst

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Apollo Global Management, Inc.

15d ago

  • Job
    Full-time
    Entry, Junior & Mid Level
  • Legal
    Banking & Finance
  • London
  • Quick Apply

AI generated summary

  • You need a relevant degree, 0-3 years in financial services, knowledge of UK/EU regulations, strong analytical skills, attention to detail, and excellent communication in a fast-paced environment.
  • You will manage restricted trading workflows, address MAR-related queries, support front office compliance, monitor trading practices, and enhance policies and procedures.

Requirements

  • Strong academic background (i.e. degree level or recognised professional certification)
  • 0-3 years financial services experience and/or knowledge of the UK and/or European regulatory regime
  • Ability to grasp new and often complex concepts quickly
  • Dependable, flexible and adaptable to new initiatives and changing business needs
  • Demonstrated interest in financial markets and securities market regulation
  • High ethical standards
  • Ability to collaborate with colleagues while exercising independent judgment
  • Ability to think critically and solve challenges with innovative solutions
  • Strong written and verbal communication skills
  • Excellent ability to multi-task and strong attention to detail
  • Entrepreneurial, self-guided work ethic with results-driven orientation
  • Excels in a fast-paced, rigorous work environment; effectively prioritises and meets deadlines

Responsibilities

  • Primary responsibilities include:
  • Workflows related to the maintenance of the restricted trading list including requests for firm trading and other information controls e.g. conflicts clearance, data room access, expert network approvals
  • Be a key point of contact for market soundings, wall crossings and other MAR-related queries
  • Assist in managing the compliance relationships with front office teams
  • Support monitoring and testing programmes related to trading compliance
  • Additional Responsibilities Include
  • Assist in maintenance and development of internal policies, procedures and training based on regulatory guidance
  • Identify areas of potential improvement, including automation and AI opportunities
  • Other general compliance matters and projects as needed

FAQs

What is the primary focus of the Compliance Analyst role at Apollo?

The primary focus of the Compliance Analyst role is the implementation of controls relating to compliance with Apollo’s firm trading policies, along with exposure to other aspects of Apollo’s compliance program.

What kind of experience is required for this Compliance Analyst position?

The position requires 0-3 years of financial services experience and/or knowledge of the UK and/or European regulatory regime.

What responsibilities will the Compliance Analyst have regarding trading compliance?

The Compliance Analyst will be involved in workflows related to the maintenance of the restricted trading list, managing compliance relationships with front office teams, and supporting monitoring and testing programs related to trading compliance.

Is a strong academic background necessary for this position?

Yes, a strong academic background, including a degree level or recognized professional certification, is an important qualification for this position.

What are some key skills expected from a candidate for this role?

Key skills include strong written and verbal communication, critical thinking, problem-solving, attention to detail, collaboration, and the ability to multi-task in a fast-paced environment.

What kind of environment does the Compliance Analyst need to be comfortable working in?

The Compliance Analyst should thrive in a fast-paced, dynamic, and collaborative environment.

Does Apollo provide equal employment opportunities?

Yes, Apollo provides equal employment opportunities regardless of various factors including age, disability, gender reassignment, race, sexual orientation, and other protected criteria.

Are there opportunities for career development at Apollo?

Yes, Apollo is committed to supporting the development of its employees at every stage of their career.

Will the Compliance Analyst be involved in developing internal policies?

Yes, the Compliance Analyst will assist in the maintenance and development of internal policies, procedures, and training based on regulatory guidance.

What is the expected work ethic for a candidate applying for this role?

Candidates should have an entrepreneurial, self-guided work ethic with a results-driven orientation.

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Apollo Global Management, Inc.

Apollo is a high-growth alternative asset manager.

1001-5000
Employees
1990
Founded Year

Mission & Purpose

Apollo is a high-growth, 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 investing 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. To learn more, please visit www.apollo.com. Nothing herein constitutes an offer to sell, or a solicitation of an offer to buy, any security or product of Apollo or any Apollo-managed fund.