- 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
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Sr. Manager, Investment Compliance - Chicago, United States - Aon Corporation
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.
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.
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:
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 WorkingOur 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, diverse 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.
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.
Nothing in this job description restricts management's right to assign or reassign duties and responsibilities to this job at any time.
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.The salary range reflected is based on a primary work location of Chicago, IL. The actual salary may vary for applicants in a different 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.
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