Compliance Associate Director

Compliance Associate Director
Région: Luxembourg
Expérience nécessaire: 5 ans
Secteur d'activité: Entreprise
Contrat: Durée indéterminée (Temps plein)

Description de la société

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. 

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

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