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Compliance Analyst - Apollo Insurance Solutions Group (ISG)
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$80,000 - $90,000 a year
Full-time
- The Compliance Analyst reports into the Investment Compliance Team, which is primarily responsible for the oversight and management of regulatory compliance risk related to ISG’s investment and trading activities.
- The Compliance Analyst plays an important frontline role in managing the firm’s regulatory and legal risk by monitoring daily investment and trading activities across the organization.
- The Compliance Analyst interfaces with the firm’s trading and investment teams to resolve pre-trade and post-trade compliance matters and escalate issues for further analysis.
- Using the compliance functionality of the firm’s order management system, the Compliance Analyst monitors pre-trade and post-trade compliance with investment restrictions stipulated by a variety of sources including but not limited to our own internal policies, investment management agreements, client account guidelines, and regulatory requirements.
- Under the direction of the Principal, Investment Compliance, the Compliance Analyst will prepare routine portfolio compliance reports utilizing the firm’s order management system.
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