Jobs
>
Chicago

    Senior Compliance Oversight Officer, Investments - Chicago, United States - Aon

    Aon
    Aon Chicago, United States

    4 weeks ago

    Default job background
    Description
    Posting Description:

    Aon Investments USA is looking for Senior Compliance Oversight Officer, Investments

    (Chicago or open to any remote location across the U.S.)

    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 Compliance Oversight Officer, Investments

    Aon Investments USAs (AIUSA) compliance department provides service, support, and advice to promote AIUSAs growth and development while helping employees and AIUSA meet its regulatory obligations, and more broadly, to preserve and enhance our reputation for integrity.

    The Senior Compliance Oversight Officers primary role is to assist the CCO (Chief Compliance Officer) and Deputy CCO in leading the departments compliance and risk management program. This includes the review and oversight of the firms marketing materials, risk assessment and monitoring/testing program. This role has cross-border exposure to our Canadian and United Kingdom affiliates.

    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:

    • Manage the compliance aspects of AIUSAs marketing / sales oversight program, including the review of marketing materials, liaising with the business and monitoring / testing of marketing / sales related topics
    • Lead the firms annual risk assessment
    • 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
    • Assist in the preparation of regulatory filings (e.g., Form ADV, Form PF)
    • Conceptualize and implement new surveillance and testing programs
    • Additional special projects and tasks

    Required Experience:

    • 5+ years of relevant experience in a compliance function for an SEC-registered investment adviser
    • In-depth knowledge of the SEC Marketing Rule
    • 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)
    • 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

    Preferred Experience:

    • Understanding of the Investment Advisor Marketing rule
    • Canadian compliance / cross-border experience a plus
    • Training and development of junior staff
    • Experience working in a growth oriented institutional investment firm

    Education:

    • Bachelors degree or equivalent work experience

    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

    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, 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. If you would like to learn more about the reasonable accommodations we provide, email

    Nothing in this job description restricts management's right to assign or reassign duties and responsibilities to this job at any time.

    The salary range for this position (intended for U.S. applicants) is $107,000 to $143,000 annually. The actual salary will vary based on applicants education, experience, skills, and abilities, as well as internal equity and alignment with market data. The salary may also be adjusted based on applicants 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 Aons 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.

  • Allium Partners LLC

    Chief Investment Officer

    3 days ago

    Allium Partners LLC Chicago, United States

    LOCATION: · Chicago, IL · COMPANY: · Our client, · Banner Real Estate Group · is a group of vertically integrated real estate companiesfocusing on the development, acquisition and management of multifamily properties and the acquisition and development of self-storage facilit ...

  • Northern Trust Corporation

    Senior Client Investment Officer

    3 weeks ago

    Northern Trust Corporation Chicago, United States Full time

    About Northern Trust: · Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889. · Northern Trust is proud to provide innovative financial services and guidance to the world's most succ ...

  • Northern Trust

    Senior Client Investment Officer

    1 week ago

    Northern Trust Chicago, United States

    About Northern Trust: · Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889. · Northern Trust is proud to provide innovative financial services and guidance to the world's most suc ...

  • Aon Hewitt

    Senior Compliance Oversight Officer, Investments

    3 weeks ago

    Aon Hewitt Chicago, United States

    Aon Investments USA is looking for Senior Compliance Oversight Officer, Investments(Chicago or open to any remote location across the U.S.)As part of an industry-leading team, you will help empower results for our clients by delivering innovative and effective solutions supportin ...

  • Northern Trust

    Senior Client Investment Officer

    3 weeks ago

    Northern Trust Chicago, United States

    About Northern Trust:Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.Northern Trust is proud to provide innovative financial services and guidance to the world's most successful ...

  • Northern Trust

    Outsourced Chief Investment Officer

    2 weeks ago

    Northern Trust Chicago, United States

    About Northern Trust: · Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889. · Northern Trust is proud to provide innovative financial services and guidance to the world's most suc ...

  • Bank of America Corporation

    Senior Credit Officer-Global Corporate and Investment Banking

    1 week ago

    Bank of America Corporation Chicago, United States

    Job Description: · At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day. ...

  • Aon

    Senior Compliance Oversight Officer, Investments

    4 weeks ago

    Aon Chicago, United States

    Aon Investments USA is looking for Senior Compliance Oversight Officer, Investments · (Chicago or open to any remote location across the U.S.) · As part of an industry-leading team, you will help empower results for our clients by delivering innovative and effective solutions s ...

  • Aon

    Senior Compliance Oversight Officer, Investments

    4 weeks ago

    Aon Chicago, United States Regular, Full or Part time

    Aon Investments USA is looking for Senior Compliance Oversight Officer, Investments · (Chicago or open to any remote location across the U.S.) · As part of an industry-leading team, you will help empower results for our clients by delivering innovative and effective solutions sup ...

  • Northern Trust

    Senior Investment Officer

    2 weeks ago

    Northern Trust Lake Forest, United States

    About Northern Trust: · Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889. · Northern Trust is proud to provide innovative financial services and guidance to the world's most suc ...

  • Larson Maddox

    Compliance Manager

    1 week ago

    Larson Maddox Chicago, United States

    Come join a Chicago-based Registered Investment Advisor (RIA) firm that specializes in providing investment advice and management services to high-net-worth individuals and institutional clients. They are seeking a Compliance Officer to join the team and work alongside the Compli ...

  • Allstate Benefits

    Senior Financial Analyst

    6 days ago

    Allstate Benefits Chicago, United States

    Job Summary: · The Senior Financial Analyst is a pivotal role within the Investment FP&A team, responsible for overseeing and enhancing the portfolio forecasting model. This individual will lead efforts in forecasting all components of total return, including investment income, r ...

  • First Trust Capital Management L.P.

    Research Analyst

    5 days ago

    First Trust Capital Management L.P. Chicago, United States

    Summary · The Research Analyst role at First Trust Alternative Investment Research ("FT AIR") is focused on supporting all aspects of the investment due diligence efforts with respect to the firm's hedge fund, private equity, venture capital, real estate, private credit, and liqu ...

  • First Trust Capital Management L.P.

    Junior Research Analyst

    6 days ago

    First Trust Capital Management L.P. Chicago, United States

    Summary · The Junior Analyst role at First Trust Alternative Investment Research ("FT AIR") is focused on supporting all aspects of the investment due diligence efforts with respect to the firm's hedge fund, private equity, venture capital, real estate, private credit, and liquid ...

  • Atlantic Group

    Investment Management Attorney

    4 days ago

    Atlantic Group Chicago, United States

    Job Title: Investment Management Attorney · Location: Chicago, IL [4 days in office / 1 day WFH] · Compensation: $150-175k base + bonus · About the Company: A leading global, multi-strategy investment firm is seeking a highly skilled Investment Management Attorney to join their l ...

  • Selby Jennings

    Equity Analyst

    4 days ago

    Selby Jennings Chicago, United States

    Company Overview: · A leading Investment Management firm headquartered in Chicago. Specialize in managing long/short equity portfolios, leveraging deep fundamental research to identify investment opportunities and risks. The team is dedicated to generating alpha for clients thro ...

  • Kovitz

    Equity Research Analyst

    1 week ago

    Kovitz Chicago, United States

    JOB DESCRIPTION · The Kovitz Core Equity Team utilizes a bottom-up, fundamental, research-driven security selection process and patient decision making to construct a concentrated portfolio of holdings. · The analyst will work with senior investment team members to identify and ...

  • Larson Maddox

    Senior Wealth Advisor

    1 week ago

    Larson Maddox Chicago, United States

    An award-winning boutique RIA is seeking seasoned Wealth Advisors to help expand their presence strategically from both a leadership and an advisor standpoint. This person will be working to build a book of business consisting of UHNW and HNW private clients through business deve ...

  • Northern Trust Corporation

    Director of Client Development

    1 week ago

    Northern Trust Corporation Chicago, United States Full time

    Description · : Lead market development officer (sales representative) for Northern Trust's Global Family Office business focused on U.S. based family office, business owner and private investment office client community. Primarily responsible for sourcing and closing new busine ...

  • Riverpoint Wealth Management

    Financial Services Associate

    2 weeks ago

    Riverpoint Wealth Management Chicago, United States

    Client Service Associate · Riverpoint Wealth Management is a boutique financial planning firm serving high-net-worth clients. We are an independently owned and nationally registered investment advisory (RIA) firm. Riverpoint specializes in comprehensive planning including investm ...