Analyst | Compliance

Apollo Commercial Real Estate Finance Inc. New York , NY 10007

Posted 6 months ago

Analyst | Compliance

New York

Position Overview

The Compliance Analyst partners with junior and senior level Compliance professionals on a wide variety of projects to ensure that books and records, employee/firm trading, and employee on-boarding/off-boarding processes comply with regulatory requirements and Company policies.

Primary Responsibilities

  • Review employee and firm trading activities to ensure compliance with Company policies

  • Perform surveillance of employee correspondence to ensure compliance with Company policies

  • Document compliance issues and implement solutions in a timely manner after discovery and resolution

  • Assist in receiving, reviewing and recording employee brokerage accounts to comply with the Investment Advisers Act

  • Conduct research and review new rules and regulations applicable to the firm's business

Qualifications & Experience

  • Bachelor's Degree required

  • 1-2 years of experience in a related field

  • Knowledge of financial markets and securities market regulation

  • Highly organized and detail-oriented

  • Strong analytical skills

  • Ability to collaborate with colleagues while exercising independent judgment

  • Excellent oral and written communication skills

  • Strong interpersonal skills

  • Ability to multitask and prioritize competing demands to meet deadlines

  • High ethical standards

  • Working knowledge of Microsoft Excel, Word and Outlook

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Analyst | Compliance

Apollo Commercial Real Estate Finance Inc.