Trading Compliance Professional

Position Overview

At Apollo, we’re a global team of alternative investment managers passionate about delivering uncommon value to our investors and shareholders. With over 30 years of proven expertise across Private Equity, Credit and Real Estate, regions and industries, we’re known for our integrated businesses, our strong investment performance, our value-oriented philosophy – and our people.

Apollo is seeking a Compliance Director to join the Legal, Regulatory, Tax, and Compliance (“LRTC”) team covering broker-dealer compliance associated with Apollo’s Alternative Trading (“AAT”) business.  The Compliance Director will work closely with senior members of Apollo’s AAT business and members of Apollo’s LRTC team to ensure compliance across Apollo’s global investment platform. Primarily, the function will focus on compliance matters related to secondary market institutional fixed-income activity in AAT and across Apollo’s broker-dealer business.  The Compliance Director will drive the implementation of compliance controls relating to, among others:

·       Information barriers

·       Inter-affiliate transactions

·       Conflicts of interest

·       FINRA rules  

Apollo is looking for an individual with excellent analytical and communications skills who thrives in a fast-paced, dynamic, and collaborative environment with a strong understanding of broker-dealer regulation and working knowledge of the Advisers Act.

Primary Responsibilities:

• Monitoring controls related to the information wall between AAT Trading and Apollo

• Coordinating with Compliance colleagues and the business to drive the review and approval process for inter-affiliate transactions

• Be the key contact in conflicts clearance and trade reviews related to AAT activity

• Implement and monitor controls regarding resales of restricted securities

• Conducting surveillance focused on information safeguarding and secondary market trading rules 

• Preparing material and documents related to supervisory meetings and governance committees

• Maintaining and developing internal policies and procedures and current regulatory guidance with respect to broker-dealer and other related compliance matters

• Leading general compliance matters, and other projects related to AAT

Qualifications & Experience

Apollo seeks to hire individuals who are highly motivated, intelligent, energetic and can quickly assess a situation and exercise sound business judgment.  More specifically, the successful candidate should have:

• Bachelor’s degree with an excellent record of academic achievement

• 6-8+ years of prior experience as a Compliance Officer in a broker-dealer or in a capital markets/investment banking environment

• Knowledge of fixed income and ETF products

• Experience operating on a trading floor a plus

• Ability to adapt and work well within a fast-past environment; manage and prioritize competing tasks simultaneously

• Confident and effective communicator

• Ability to work independently while remaining a strong team player

• Strong attention to detail and exceptional analytical skills

• Initiative, creative and driven

Pay Range

Apollo Global Management, Inc. (together with its subsidiaries and affiliates) is committed to championing opportunity.

The firm and its affiliates comply with applicable discrimination and equal opportunities legislation in all of its jurisdictions and do not discriminate in employment or recruitment based on race, color, religion, gender, national origin, veteran status, disability, age, citizenship, marital or domestic/civil partnership status, sexual orientation, gender identity or expression or any other protected characteristic under applicable law.

The contents of the qualifications and experience section of this job description are a guideline only. If an applicant can otherwise demonstrate their suitability for the role they will be considered.

The base salary range for this position is listed above. This position is also eligible for a discretionary annual bonus based on personal, team, and Firm performance. Compensation ranges are based on several factors including job function, level, and geographic location. Final offer amounts are determined by multiple factors including candidate experience and expertise, and may vary from the amounts listed here.