Compliance Associate Director

at  Apollo

Position Overview
The successful candidate will work closely with junior and senior members of Apollo’s global Compliance team to ensure regulatory compliance across Apollo’s Yield, Hybrid and Equity businesses. The Compliance Associate Director’s primary responsibilities are two-fold: supporting the delivery of the compliance programme for Apollo’s CSSF-authorised alternative investment fund manager (the “AIFM”) and additionally, regulatory compliance issues with respect to marketing and other investor/third party materials and communications, for both the institutional and Global Wealth Management Solutions (“GWMS”) businesses.
Apollo is looking for an individual who thrives in a fast-paced, dynamic, and collaborative environment. The ideal candidate will have the ability to manage competing priorities and be a strong decision-maker. The candidate will also be able to build and manage relationships with multiple stakeholders.

Primary Responsibilities

• Assist with the delivery of the AIFM’s compliance monitoring programme
• Review marketing materials, due diligence responses, investor communications, and other fundraising and reporting-related materials (e.g. quarterly letters, recordings, memoranda, etc.) from a regulatory and compliance perspective
• Assist with delegate onboarding and oversight
• Assist with managing the EMEA Compliance relationship with several lines of business and related products
• Maintenance of internal policies and procedures and current regulatory guidance with respect to marketing
• Assist with the discharge of the AIFM’s AML/CTF obligations
• Support new fund launches from a compliance perspective
• Develop educational materials and trainings for marketing professionals with respect to marketing regulations.

Additional Responsibilities

• Assist with the monitoring and testing of various policies and procedures
• Assist with the management of regulatory change projects
• Assist with other general compliance matters and projects as needed

Qualifications & Experience

• Bachelor’s degree from a top undergraduate institution with an excellent record of academic achievement
• 5+ years of experience at a law firm and/or investment management firm
• Prior experience in a compliance role and/or law firm required; prior experience with marketing or distribution compliance is strongly preferred
• Understanding of financial markets and securities market regulation
• Ability to think critically and solve challenges with innovative solutions
• High ethical standards
• 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

About Apollo
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 provides equal employment opportunities regardless of age, disability, gender reassignment, marital or civil partner status, pregnancy or maternity, race, colour, nationality, ethnic or national origin, religion or belief, veteran status, sex or sexual orientation, or any other criterion or circumstance protected by applicable law, ordinance, or regulation. The above criteria are intended to be used as a guide only – candidates who do not meet all the above criteria may still be considered if they are deemed to have relevant experience/ equivalent levels of skill or knowledge to fulfil the requirements of the roe. Roles are conditional upon and subject to satisfactory reference and background screening checks, as well as all necessary corporate and regulatory approvals or certifications as required from time to time

Primary Responsibilities

• Assist with the delivery of the AIFM’s compliance monitoring programme
• Review marketing materials, due diligence responses, investor communications, and other fundraising and reporting-related materials (e.g. quarterly letters, recordings, memoranda, etc.) from a regulatory and compliance perspective
• Assist with delegate onboarding and oversight
• Assist with managing the EMEA Compliance relationship with several lines of business and related products
• Maintenance of internal policies and procedures and current regulatory guidance with respect to marketing
• Assist with the discharge of the AIFM’s AML/CTF obligations
• Support new fund launches from a compliance perspective
• Develop educational materials and trainings for marketing professionals with respect to marketing regulations

Additional Responsibilities

• Assist with the monitoring and testing of various policies and procedures
• Assist with the management of regulatory change projects
• Assist with other general compliance matters and projects as neede