Position Overview

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.

The AGM SOX Program Lead is accountable for the effective and efficient SOX Program for AGM that ensures compliance with Sarbanes-Oxley requirements. The AGM SOX Program Lead is responsible for a common approach for the program – aligning and driving efficiencies for both the AGM and Athene programs’ people, processes, and technology platform. Following the merger with Athene, our retirement services business, a critical initiative is scaling our Mumbai SOX center of excellence to support the Athene Sox controls testing portfolio. This requires alignment with all key stakeholders, leveraging the Archer technology platform, aligning with the external consultant teams in West Des Moines and NYC, and exceptional change management experience and skills.

The AGM Sox Program Lead reports to the AGM Head of Internal Audit and SOX Reporting, and supports the AGM Chief Accounting Officer, AGM Head of Financial Reporting, Athene Controller, and partners with the AAM SOX lead and the Athene Head of Internal Audit & SOX.

Primary Responsibilities

• Continue to optimize common approach across AGM for ensuring efficient, effective compliance with SOX requirements including:

  • Leading annual planning: financial statement risk assessment and control scoping

  • Conducting design walk throughs, operating effectiveness testing, evaluation of quality of management self-assessment, identification, evaluation and remediation of deficiencies, and management reporting to support quarterly and annual certifications

  • Ensuring creation and maintenance of control documentation, assessment issues and evaluation

  • Ensuring timely, effective communication with key stakeholders including producing management reporting providing SOX program status, trends, evaluation, and remediation of deficiencies

  • Delivering efficient, end-to-end processes and support, that optimize the Mumbai teams, Athene, and third-party support as appropriate, and create alignment to industry benchmarks and internal metrics

• Lead compliance efforts and updates with the AGM Controls Forum, SOX working group, Controllers, Internal Audit, and external audit partners, and business control owners

• Drive controls/risk management culture educating business owners of the role they play to ensure a strong control environment and ensure compliance with requirements (1st, 2nd, 3rd line)

• Drive change management and continuous improvement to ensure efficiency and maintenance of an optimized control environment supporting financial reporting, ensure alignment to current requirements

• Partner with Third Party/vendor management for oversight of SOX relevant vendors, ensuring review of vendor’s control assessments (SOC1) and assessing impact to AGM’s ICFR

• Lead delivery of SOC 1 assessment for ISG, and other entities as appropriate

• Deliver the transformation of the SOX program – building the capacity and capability in the Mumbai COE to support the Retirement Services (Athene) portfolio of controls testing.

Key Deliverables

Build an integrated approach for AGM’s SOX program, including:

• Risk Assessment and Scoping – assess the consolidated control inventory across AGM, AAM and Athene – align risk assessment and scoping (i.e., control risk scoring and ranking, risk registers, 3rd party scoping, systems scoping)

• Key Control Identification & Assessment – assess new controls resulting from merger and incorporate into SOX program: AGM consolidation controls, AGM entity level controls, AHL PGAAP controls, and ISG SOC 1

• Process & Control Documentation – develop and implement common approach to documenting and updating business processes and controls, including rollout of Archer as enterprise platform

• Control Design Assessment and Control Effectiveness testing – Develop and implement approach for:  controls rationalization (key controls, testing approach, etc.), QA, sampling approach to control testing, and sampling approach over Information Provided by Entity (IPE)

• Control Deficiency Assessment and Management Action Plan Oversight – develop common approach for Deficiency assessment including key decision and escalation, govern and communicate status of management action plans and remediation

• Reporting and Certification – develop reporting approach for timely communication to audit committee, executive management, SOX Process and Control owners to support quarterly and annual certifications

• Governance and Human Capital – Ensure effective and efficient alignment of people, across AAM on-shore and Powai teams, Athene. Conduct assessment of third-party support as appropriate. Aligned to key metrics and industry benchmarks.

Qualifications & Experience

• 20+ years big four and/or internal audit, focused on SOX/internal controls, risk and compliance

• BA/BS accounting/finance (CPA preferred)

• Strategic leader who understands the criticality of a strong control environment supporting financial reporting, and operates as part of an integrated risk/compliance ecosystem

• Proven leader in a complex, matrixed global organization

• Experience successfully managing offshore, remote and vendor teams critical

• Demonstrated experience in risk management practices throughout the SOX lifecycle

• Outstanding people leader, highly adaptive, and collaborative

• Leader who has experience managing, influencing, driving strategic outcomes at all levels of an organization from executive leadership to working teams and third parties

OUR PURPOSE AND CORE VALUES

Our clients rely on our investment acumen to help secure their future. We must never lose our focus and determination to be the best investors and most trusted partners on their behalf. We strive to be:

The leading provider of retirement income solutions to institutions, companies, and individuals.

The leading provider of capital solutions to companies. Our breadth and scale enable us to deliver capital for even the largest projects – and our small firm mindset ensures we will be a thoughtful and dedicated partner to these organizations. We are committed to helping them build stronger businesses.

A leading contributor to addressing some of the biggest issues facing the world today – such as energy transition, accelerating the adoption of new technologies, and social impact – where innovative approaches to investing can make a positive difference.

We are building a unique firm of extraordinary colleagues who:

Outperform expectations

Challenge Convention

Champion Opportunity

Lead responsibly

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.

OUR BENEFITS

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.

Pay Range

225,000 – 315,000

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.