Registered Funds Compliance Professional - Global Wealth

Position Overview

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.

Primary 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

Qualifications & Experience

• 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