Associate - SOX Testing

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 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.

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

About Apollo Global Management (AGM) LLC and SOX Team Overview

Apollo is a global, high-growth 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 business 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. As of December 31, 2024, Apollo had approximately $751 billion of assets under management. To learn more, please visit www.apollo.com.

The Apollo SOX team have a unique opportunity to transform their SOX program to meet the needs of Apollo’s ever-changing business, while also becoming a trusted advisor to Business Stakeholders.  With strong governance, our SOX team will drive results and create a scalable, leading practice function. 

Utilizing the SOX delivery model, which consists of dedicated portfolio teams led by an Associate Director and supported by Associates and Analysts, the SOX program will be stabilized and scaled. This model prioritizes achieving urgent outcomes, including efficient practices, strong stakeholder alignment, and fostering an inclusive and collaborative team culture.

The Analyst and Associate will be dedicated to a specific team to promote growth in the end-to-end understanding of the control environment across Athene and Apollo. Together with the Team Lead, they execute testing and risk and control related activities.

Primary Responsibilities

Stakeholder Focused:

• Become a trusted advisor and “go-to” controls contact 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 assessing controls.

• Prepare a testing tracker for the respective control, to facilitate 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 relevant period.

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

SOX Testing:

• Send data requests to process owners and track receipt of supporting documentation, 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 SOX methodology and standards to all SOX activities.

• 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

• Align testing strategy to include automation, where feasible

SOX Reporting:

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

• Escalate bottlenecks where necessary to the Portfolio Team lead.

• Meeting all testing deadlines.

SOX Deficiencies:

• Review and evaluate potential deficiencies (Self-Identified, SOX, External Audit, Enterprise Risk Management, Internal Audit) with Senior Lead 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

• A minimum of 5-7 years’ experience in Controls with a focus on Sarbanes-Oxley 404, COSO, or Internal Audit

• Previous experience in Big 4 within Insurance / Retirement services background (e.g., annuity operations, actuarial and / or, reinsurance processes and controls) industry experience.

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

• CPA/MBA/CSOE certification preferred.

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

• 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.

Apollo provides equal employment opportunities regardless of age, disability, gender reassignment, marital or civil partner status, pregnancy or maternity, race, colour, nationality, ethnic or national origin, religion or belief, veteran status, gender/sex or sexual orientation, or any other criterion or circumstance protected by applicable law, ordinance, or regulation. The above criteria are intended to be used as a guide only – candidates who do not meet all the above criteria may still be considered if they are deemed to have relevant experience/ equivalent levels of skill or knowledge to fulfil the requirements of the role. Any job offer will be conditional upon and subject to satisfactory reference and background screening checks, all necessary corporate and regulatory approvals or certifications as required from time to time, and entering into definitive contractual documentation satisfactory to Apollo.