Aon Investments, Compliance Officer

AON • Chicago, IL

158d • $70,000 - $90,000

About The Position

Aon is looking for a Compliance Analyst, Aon Investments US. Are 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.

Requirements

• 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.

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.

Benefits

• 401(k) savings plan with employer contributions.
• 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.
• Employee assistance program that includes free counseling sessions.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Industry: Professional, Scientific, and Technical Services
• Education Level: Bachelor's degree