Compliance Officer, Luxembourg | Compliance
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Position Overview

The legal counsel will be part of Apollo’s European legal team and will be involved in a wide range of legal, corporate governance, compliance and regulatory activities.

Locally, the person will be part of a team of four lawyers and will directly report to the European General Counsel in London.

The Luxembourg Legal Counsel will spend time on legal matters as well as compliance and regulatory matters relating to Apollo’s CSSF-regulated AIFM.

The position may also require contact with the CSSF. This role is expected to have both legal and compliance related responsibilities relating to Apollo’s regulated and unregulated activities in Luxembourg.

Primary Responsibilities

Investment-related Activities

1.Supervise and monitor the set-up of Apollo’s PE and credit investment structures in Luxembourg (Sarl, SCA, SCSp, RAIF), including review of legal documentation to ensure proper implementation of commercial / finance / tax / accounting aspects

2.Ensure maintenance of the Luxembourg structures over time from a legal, compliance (filings, KYC / AML, obligations and undertakings under the corporate documentation), and corporate governance perspective (holding and participation in board meetings)

3.Organize and supervise exit (IPO / sale) and liquidation of Luxembourg structures

AIFM and its managed investment funds

1.Participate in the formation of new investment fund structures to be managed by the AIFM, including review of governing documents (LPA, PPM, AIFM agreement, Depositary agreement) and coordination and supervision of necessary board meetings and required filings with regulators

2.Participate in the compliance monitoring and reporting obligations of Apollo’s AIFM (regulatory watch, KYC / AML, review and revision of policies and procedures, and monitoring)


1.Coordinate and monitor law firms and other service providers

2.Thorough understanding of the regulatory environment for asset managers

3.Competence to assess the impact of legal and regulatory developments and assist with the management of implementation projects

4.Coordinate with other geographies, businesses and enterprise solutions groups (legal, compliance, tax and finance) within Apollo

Qualifications & Experience

  • Top academic credentials in law (BA / BS / LLB) from a top university with 5 years+ PQE in the corporate / funds team of a top-tier law firm with focus on financial services
  • In-house legal and / or compliance experience at a registered investment adviser or asset manager in Luxembourg that has a registered AIFM
  • Transactional M&A or securities experience is a plus
  • Mature and exceptional communication / interpersonal skills (both written and spoken English
  • Builds and maintains strong relationships / credibility with relevant internal stakeholders, regulators, and outside vendors, including outside counsel and consultants
  • Can execute strategy with the appropriate sense of urgency while also maintaining a grasp of the details
  • Thinks critically and proposes business-oriented solutions that combine excellent judgment, creativity, risk-management and technical expertise
  • Can work independently, as well as in collaborative partnership with the broader European and global legal team; strong desire to learn
  • Thrives in a fast-paced, rigorous work environment; effectively prioritizes and meets deadlines

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