Aon Investments, Compliance Officer

Aon

  • Chicago, IL
  • $70,000 per year
  • Permanent
  • Full-time
  • 1 month ago
Job Description:Aon is looking for a Compliance Analyst, Aon Investments USAre you a Compliance Analyst with experience within a SEC-registered investment adviser? This could be a phenomenal opportunity for you.Aon is in the business of better decisions.At Aon, we shape decisions for the better to protect and enrich the lives of people around the world.As an organization, we are united through trust as one inclusive team, and we are passionate about helping our colleagues and clients succeed.Aon Investments USA Inc. (“AIUSA”) is a registered investment adviser with the Securities and Exchange Commission (“SEC”). Aon’s investment consulting business is a global investment consulting firm with capabilities in every area of interest to institutional investors. Aon is currently one of the top three OCIO providers in the world measured by global assets under management!The Compliance Analyst’s primary role is to assist the Deputy Chief Compliance Officer and team with the day-to-day administration of AIUSA’s compliance program. This includes Code of Ethics administration, monitoring and testing of policies and procedures, and completion of special projects. Additionally, this role may assist with regulatory requirements with the review of the firm’s marketing materials, RFPs, and client communications to ensure compliance with relevant laws and regulations.What the day will look like.While the nature of the role is continually evolving as the regulatory requirements and risks facing the firm change, the following duties are representative of the nature and level of work assigned and are not necessarily all inclusive.Job Responsibilities:
  • Assist in the monitoring of the day-to-day administration of the Firm’s Code of Ethics/personal trading policies through the Firm’s compliance software.
  • Conceptualize and conduct ongoing surveillance to address emerging trends and regulatory rules.
  • Identification, research, and/or resolution of risk issues impacting the business.
  • Assist with the review, maintenance, and updates to the firm’s regulatory filings. These include those with the SEC and National Futures Association
  • Participate in the annual risk assessment and annual review of the procedures and policies of the firm.
  • Support and help with the review of marketing materials. These include RFPs, and client communications to ensure compliance with relevant laws and regulations.
  • Assist with the Firm’s responses and documentation requests to any regulatory inquiries, third party examiners and internal audit.
  • Interact with various departments within the organization to ensure consistency in policies and procedure. Additional administrative duties and special projects, as needed.
We do not offer visa sponsorship for this role.Skills and experience that will lead to success.
  • 2+ years of experience in a compliance function for a SEC-registered investment adviser,
  • Proven ability to work independently and collaboratively in a team-oriented environment
  • Basic understanding of the asset management industry and securities markets, as well as knowledge of securities laws that relate to investment advisers (e.g., Investment Advisers Act, Securities Act, Commodities Exchange Act, ERISA).
  • Critical thinker who can analyze situations and identify compliance and business risks and implement solutions to address and mitigate such risks.
  • Possess a professional integrity.
  • Well organized, meticulous, and strong oral and written communication skills.
  • Excellent PowerPoint and Excel skills.
How we support our colleaguesIn addition to our comprehensive benefits package, we encourage an inclusive workforce. Plus, our agile, inclusive environment allows you to manage your wellbeing and work/life balance, ensuring you can be your best self at Aon. Furthermore, all colleagues enjoy two “Global Wellbeing Days” each year, encouraging you to take time to focus on yourself. We offer a variety of working style solutions, but we also recognize that flexibility goes beyond just the place of work... and we are all for it. We call this Smart Working!Our continuous learning culture inspires and equips you to learn, share and grow, helping you achieve your fullest potential. As a result, at Aon, you are more connected, more relevant, and more valued.Aon values an innovative and inclusive workplace where all colleagues feel empowered to be their authentic selves. Aon is proud to be an equal opportunity workplace.Aon provides equal employment opportunities to all employees and applicants for employment without regard to race, color, religion, creed, sex, sexual orientation, gender identity, national origin, age, disability, veteran, marital, domestic partner status, or other legally protected status. People with criminal histories are encouraged to apply.We welcome applications from all and provide individuals with disabilities with reasonable adjustments to participate in the job application, interview process and to perform essential job functions once onboard. If you would like to learn more about the reasonable accommodations we provide, emailFor positions in San Francisco and Los Angeles, we will consider for employment qualified applicants with arrest and conviction record in accordance with local Fair Chance ordinances.Aon is not accepting unsolicited resumes from search firms for this position. If you are a search firm, you will not be compensated in any way for your submission of a candidate, even if Aon hires that candidate.Nothing in this job description restricts management's right to assign or reassign duties and responsibilities to this job at any time.Pay Transparency Laws:The salary range for this position (intended for U.S. applicants) is $70,000k to $90,000k annually. The actual salary will vary based on applicant’s education, experience, skills, and abilities, as well as internal equity and alignment with market data. The salary may also be adjusted based on applicant’s geographic location.Aon offers a comprehensive package of benefits for full-time and regular part-time colleagues, including, but not limited to: a 401(k) savings plan with employer contributions; an employee stock purchase plan; consideration for long-term incentive awards at Aon’s discretion; medical, dental and vision insurance, various types of leaves of absence, paid time off, including 12 paid holidays throughout the calendar year, 15 days of paid vacation per year, paid sick leave as provided under state and local paid sick leave laws, short-term disability and optional long-term disability, health savings account, health care and dependent care reimbursement accounts, employee and dependent life insurance and supplemental life and AD&D insurance; optional personal insurance policies, adoption assistance, tuition assistance, commuter benefits, and an employee assistance program that includes free counseling sessions. Eligibility for benefits is governed by the applicable plan documents and policies.#LI-BN1#LI-HYBRID2565303

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