Financial Operations Manager, Secondary Trading

4 weeks ago

New York, New York, United States Apollo Global Management, Inc. Full time

Job Summary

Apollo Global Management, Inc. is seeking a highly skilled Associate Director to join our Broker Dealer team. As a key member of our team, you will be responsible for supporting daily P&L and regulatory net capital calculations related to secondary trading activities.

Key Responsibilities

  • Review front-end system inventory on a daily basis and calculate applicable haircuts in accordance with SEC Rule 15c3-1.
  • Review daily P&L calculations on broker-dealer inventory positions.
  • Research P&L and positions breaks between the front-end system and the backend system (clearing firm).
  • Ensure contract compliance with the administrator and the clearing firm.
  • Facilitate monthly and quarterly focus filings documentation to report broker-dealer financial position and net capital position to FINRA, ensuring supporting files meet standards.
  • Assist in the annual statutory audit process, prepare financial statements, liaise with auditors, and work with the compliance team on required year-end filings.
  • Ensure proper accounting treatment is applied to all secondary trading transactions and expenses that adhere to U.S. GAAP and SOX regulatory reporting requirements.
  • Assist with quarterly external reporting, which includes FOCUS filings, SEC filings, and AGM 10-Q/K (and related disclosures).
  • Maintain a strong SOX controls environment and ensure proper documentation of our SOX control processes.
  • Review detailed Balance Sheet and Income Statement variance and fluctuation analysis in connection with monthly, quarterly, and annual internal reporting presentations as it relates to secondary trading activity.
  • Continue to advance and improve workflow surrounding monthly and quarterly close processes with analysis and special projects as requested by Senior Management.

Requirements

  • Strong U.S. GAAP accounting expertise (CPA or CA preferred).
  • 8-12 years of professional work experience (SEC Rule 15c3-1 and secondary trading broker-dealer experience required).
  • Series 27 license required.
  • Experience with using a Bloomberg terminal is a plus.
  • Highly organized, strong work ethic, and detail-oriented.
  • Ability to work independently in a dynamic and fast-paced work environment.
  • Capable of taking a process/task and 'run with it' to conclusion is a critical characteristic of this role.

About Apollo Global Management, Inc.

Apollo Global Management, Inc. is a leading global alternative investment manager with a focus on private equity, credit, and real assets. We are committed to delivering exceptional investment returns and creating value for our clients, employees, and communities.

Our Culture

We are a team of extraordinary individuals who are passionate about delivering exceptional results and making a positive impact. We value collaboration, innovation, and a commitment to excellence in everything we do.

Our Benefits

Apollo Global Management, Inc. offers a comprehensive benefits package, including medical, dental, and vision coverage, 401(k) matching, and paid time off. We are an equal opportunity employer and welcome applications from diverse candidates.

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