- Manage the compliance aspects of AIUSA's marketing / sales oversight program, including the review of marketing materials and RFI / RFP documents, liaising with the business and monitoring / testing of marketing / sales related topics
- Administer and assist in the development and maintenance of compliance policies and procedures; evaluate regulatory updates for impact on the business help implement policies and procedures to address relevant changes
- Coordinate with CCO / Director on the development and delivery of training to investment advisory staff on policies and procedures
- Prepare and submit regulatory filings for regulated entity (Form ADV, Form PF, NFA QRP, etc.)
- Evaluate controls and identify potential areas of compliance vulnerability and risk and partner with the business in the creation of controls and solutions to resolve identified vulnerabilities
- Serve as Compliance Subject Matter Expert (SME) when interacting with various departments within the organization
- Conceptualize and implement new surveillance and testing programs to monitor adherence to policies
- Conduct appropriate surveillance of business activities
- Coordinate the annual risk assessment
- Assist with the Firm's responses and documentation requests to any regulatory inquiries, third party examiners and internal audit
- Assist in the monitoring and deliverance of the Firm's Canadian affiliate, Aon Investments Canada 's, compliance policies including its Code of Conduct, Marketing, and Anti-Money Laundering policies
- Additional special projects and tasks based on business need
- 7+ years of experience in a compliance function for an SEC-registered investment adviser
- Self-motivated professional who will take ownership of their work, think strategically, and be able to work independently and collaboratively with a team
- Excellent understanding of the asset management industry as well as knowledge of securities laws that relate to investment advisers (e.g., Investment Advisers Act, Securities Act, Commodities Exchange Act)
- Has the ability to analyze situations for compliance and business risk, and implement solutions to address and mitigate such risk
- Ability to multi-task effortlessly and manage competing priorities under demanding deadlines
- Outstanding relationship management skills
- Well organized, detail-oriented, and excellent oral and written communication skills
- Canadian compliance experience a plus
- Training and development of junior staff
- Experience working in a growth oriented institutional investment firm
- Bachelor's degree or equivalent work experience
Sr. Manager, Investment Compliance - Chicago, United States - Aon
Description
Aon Investments USA is looking for Senior Manager, Investment Compliance
As part of an industry-leading team, you will help empower results for our clients by delivering innovative and effective solutions supporting our investment team.
Your impact as a Senior Manager, Investment Compliance
Aon Investments USA's (AIUSA) compliance department provides service, support, and advice to promote AIUSA's growth and development while helping employees and AIUSA meet its regulatory obligations, and more broadly, to preserve and enhance our reputation for integrity.
The Compliance Senior Manager's primary role is to assist the CCO (Chief Compliance Officer) and Compliance Director with the development and management of the firm's compliance program and day-to-day coordination and administration of the firm's compliance functions. This role will also have exposure to our Canadian affiliate, Aon Investments Canada and Aon Securities Investment Management.
While the nature of the role is continually evolving due as the regulatory requirements and risks facing the firm change, the following duties are generally representative of the level of work assigned and are not necessarily all inclusive:
Required Experience:
Preferred Experience:
Education:
How we support our colleagues
In addition to our comprehensive benefits package, we encourage a diverse 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