Associate-SOX

Position Overview

ABOUT APOLLO

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 credit to private 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. As of June 30, 2024, Apollo had approximately $696 billion of assets under management. To learn more, please visit www.apollo.com.

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.

Primary Responsibilities

Stakeholder Focused:

• Become a trusted advisor and go-to controls person for the business.

• Liaise with process owners to understand processes, risks, and controls.

One Team / One Voice:

• Be an accountable player, driving operational excellence and productivity by executing SOX activities with the wider SOX team.

• Commit to clear, concise, and consistent reporting of status and results, from transition plans to weekly dashboards.

SOX Preparation:

• Be responsible for SOX tool readiness and updates for the respective portfolio.

• Ensure control language, IPEs, and test steps are up to date prior to launching new control.

• Prepare a tracker for testing of the respective control for upload to the SOX tool.

• Assist in setting testing milestones in line with the central testing plan and manage timelines accordingly.

• Ensure control dependencies are properly identified and tested for the period being tested.

• Continuously monitor process changes and maintain new control attestations when required.

SOX Testing:

• Send data requests to process owners and track receipt of IPE, following up where necessary.

• Coordinate with Team Leads on the status of any cross-referenced controls in their own control test steps and ensure the referenced control was tested for reliance.

• Apply audit methodology and standards to all assigned audits.

• Prepare testing workpapers and SOX tool details for the respective controls prior to submitting to the External Auditor.

• Review External Auditors’ comments and communicate/discuss responses with the External Auditor.

• Monitor sampling reset for new control attestation and/or deficiency testing.

SOX Reporting:

• Report control assessment status and follow up on IPE with the Process Owner (PO).

• Escalate bottlenecks where necessary to the Portfolio Team lead.

SOX Deficiencies:

• Review and evaluate potential deficiencies (Management, SOX, External Audit, Enterprise Relationship Management, Internal Audit) with testers and PO once identified.

• Engage and report issues to Portfolio Team Leads and SOX Office in a timely manner to assist in evaluation.

• Track remediations, including management status and SOX testing to close.

SOX Tool Updates:

• Propose changes to the SOX tool based on discussion and agreement with PO.

• Go through the change management process (Approved by Senior Lead).

• Review changes made in the SOX tool to ensure accuracy and completeness.

Qualifications & Experience

To perform the job successfully, an individual should demonstrate the following competencies to perform the essential functions of this position:

• A minimum of 5-7 years’ experience in Controls and Sarbanes Oxley 404, COSO, IPE’s.

• Previous experience in Big 4 or Investment management industry in Asset Management engagements (i.e., Private Equity, Funds and Valuation engagements), insurance industry experience would be a plus.

• Qualified Chartered Accountant or BS/BA degree in Accounting/Finance.

• CPA/MBA/CSOE certification preferred.

• CISA or equivalent certification preferred (only for IT portfolio roles).

• Proficient in Microsoft Excel, Visio and PowerPoint; experience in GRC Tools- Archer a plus (preferred).

• Strong IT risk & controls and Sarbanes Oxley expertise (only for IT portfolio roles).

• A forward thinking, creative individual with high ethical standards.

• Detailed oriented with the ability to manage multiple priorities and meet timely deliverables.

• Comfortable operating both in a team environment and independently.

• Strong analytical and problem-solving skills. 

• Strong written and oral communication skills and presence capabilities.