Associate Director, Japan Compliance

Position Overview

This is an exciting opportunity to work in our growing Tokyo office supporting on the growing Compliance Workstreams. The Compliance Associate Director, along with our Japan Compliance Officer will oversee the Japanese compliance program and will be responsible for developing and monitoring compliance with policies and procedures designed to comply with the Japanese regulatory obligations. The ideal candidate must have at least 8 years’ experience in compliance in Type I, Type II, IAAand/or DIM business or paralegal experience and strong knowledge of JFSA regulations and must be fluent in both English and Japanese.

In addition, the successful candidate should be a highly organized individual with strong analytical skills, a creative mind set, sound judgment and business acumen, an aptitude for learning, excellent communication and writing skills, the ability to work collaboratively as a multi-jurisdictional team, and internal motivation to work independently. The Compliance Associate Director will report to the Head of Compliance, Asia Pacific and will also interact with the Asia Pacific legal and compliance team, as well as colleagues globally.

Primary Responsibilities

• Work with the Japan Compliance officer to help ensure a culture of compliance and a congruent compliance program in Japan.
• Prepare regulatory filings or reports to the regulators and associations.
• Provide advice and guidance to the business on relevant regulatory and statutory issues.
• Develop, initiate, maintain and revise written internal policies and procedures, including the Japan compliance manual, to help prevent, detect, and correct illegal, unethical or improper conduct.
• Work with the review team to review marketing materials
• Identify potential areas of compliance vulnerability and risk; develop and implement corrective action plans for resolution of problematic issues and provide general guidance on how to avoid or deal with similar situations in the future.
• Provide reports on a regular basis, and as directed or requested, to keep the Head of Compliance, Asia Pacific informed of the operation and progress of compliance efforts. Ensure proper reporting of violations or potential violations to senior management and regulators as appropriate and/or required.
• Support legal team to arrange regular board meetings and shareholders meeting and change of corporate registries
• Assist with other general compliance matters and projects as needed.
• Coordinate with business professionals on compliance issues.
• Support Internal Audit to conduct audit and to implement corrective actions.
• Assist with corporate governance and maintenance matters.
• Organising and delivering Compliance training.
• Exhibit the “One Apollo” mindset, an environment without silos where cooperation and coordination are vital to success.

Qualifications & Experience

• Bachelor’s degree or equivalent
• Extensive financial services industry experience in Japan and previous experience in a compliance role (8+ years proven experience) for a firm with a Type I, II, IAA and/or DIM licence
• Experience in applying for and obtaining licenses
• Familiarity with asset management and institutional sales oversight and industry practice
• Fluent in English and Japanese (oral and written)
• Highly organized and detail oriented
• Team player, supportive with collegiate approach
• Exceptional communication and interpersonal skills, both written and verbal
• Ability to collaborate extensively and work in a complex and interconnected business
• Ability to interact and build relationships with multiple parties and individuals
• Continuing positive relationship with Japanese regulators

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 December 31, 2024, Apollo had approximately $751 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. Please reach out to your Human Capital Business Partner for more detailed information on specific benefits.

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.