Marketing Compliance Analyst/Associate
Core
Review and approve external communications (marketing materials, investor letters, webcasts) to ensure compliance with U.S. securities regulations and firm policies.
Role type
Marketing Compliance Analyst/Associate
Builds
Regulatory-compliant marketing materials and investor communications for Apollo's asset management and retirement services businesses.
Domain
Financial Services / Asset Management / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Knowledge of SEC Marketing Rule and FINRA Rule 2210, ability to review complex marketing materials, regulatory risk identification, policy documentation, stakeholder partnership
Preferred skills
Private equity/credit/insurance marketing review experience, global regulatory framework familiarity, marketing workflow system proficiency, FINRA Series 7/24 licenses
Technologies
Red Oak or similar marketing review platforms
Responsibilities
Review and approve marketing materials and investor communications; Apply knowledge of SEC and FINRA regulations; Serve as compliance contact for specific products; Partner with Product, Legal, and Marketing teams; Identify and escalate compliance risks; Support compliance metrics and testing; Develop compliance policies; Monitor regulatory developments
Seniority
Mid-level individual contributor (2–6 years experience)
