Registered Funds Compliance Professional - Global Wealth

Apollo Management Holdings•New York City, NY

30d

About The Position

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. Come to Apollo and join a community of extraordinary people who are committed to a culture of excellence and collaboration in everything that we do. We invest in our people for the long term and are committed to supporting their development at every stage of their career. Apollo is seeking a Compliance Officer to join its growing global team of professionals who are focused on operationalizing Apollo’s strategic compliance program. The Compliance Officer will primarily focus on compliance with the Investment Company Act of 1940 (“’40 Act”), supporting registered investment companies, business development companies and other permanent capital vehicles. This individual will manage the day-to-day compliance operations of the Apollo regulated funds and partner with other members of the compliance team and other professionals to provide guidance on transactions, policy development and maintenance, global wealth initiatives and other matters.

Requirements

6+ years of experience working on ’40 Act related matters preferably at an alternative asset manager of regulated/registered product
Bachelor’s degree from a top undergraduate institution with an excellent record of academic achievement
Meaningfully contributes to strategic dialogue and collaborates effectively with investment teams & external partners
Demonstrated interest in financial markets and securities market regulation
Exceptional communication skills, both written and oral; ability to distill complex concepts into discernable terms
Superior interpersonal skills; builds and maintains strong relationships/credibility with relevant stakeholders
Ability to work independently while also supervising and guiding others in performing tasks
Thrives in a fast-paced, rigorous work environment ; effectively anticipates and prioritizes work and meets deadlines
Ability to collaborate with colleagues while exercising independent judgment
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 prioritizes and meets deadlines

Responsibilities

Provide guidance, advice and support to the various business lines supporting Apollo Regulated Funds
Advise on core compliance matters including transactions subject to Apollo’s co-investment order and other transactional matters and assist with compliance thereof
Maintain current expertise on the regulatory environment and industry practice and provide advice to the business on new rule implementations
Conduct annual risk assessments of the Regulated Funds and ensure that any compliance issues or concerns are appropriately addressed, evaluated and escalated in a timely manner
Participate in internal and external audits and reviews of the Regulated Fund’ compliance program
Liaise with colleagues in connection with various initiatives (Global Wealth, product development, etc.)
Support review of Regulated Fund marketing materials and third-party requests
Develop and maintain compliance policies and procedures and controls for the Apollo Regulated Fund platform
Support the business in developing appropriate controls and procedures to mitigate product specific risks
Assist with general compliance matters and other projects, as needed