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Associate Director, Broker Dealer
2 months ago
Apollo Global Management, Inc. is seeking an experienced 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.
- 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.
Apollo Global Management, Inc. is a leading global alternative investment manager with a focus on three investing strategies: yield, hybrid, and equity. We seek to provide our clients with excess return at every point along the risk-reward spectrum from investment grade to private equity. 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.
We are committed to building a unique firm of extraordinary colleagues who outperform expectations, challenge convention, champion opportunity, lead responsibly, and drive collaboration. As One Apollo team, we believe that doing great work and having fun go hand in hand, and we are proud of what we can achieve together.
Apollo relies on its people to keep it a leader in alternative investment management, and the firm's benefit programs are crafted to offer meaningful coverage for both you and your family. Please reach out to your Human Capital Business Partner for more detailed information on specific benefits.
Apollo Global Management, Inc. is an equal opportunity/affirmative action employer. The firm and its affiliates do not discriminate in employment because of race, color, religion, gender, national origin, veteran status, disability, age, citizenship, marital or domestic/civil partnership status, sexual orientation, gender identity or expression, or because of any other criteria prohibited under controlling federal, state, or local law.
The base salary range for this position is $140,000 - $205,000. 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.
