-
Senior Compliance Analyst, Investment Compliance
2 weeks ago
Harris Associates L.P. Chicago, United StatesAt Harris, the true value of what makes us successful is found in our people. It is our unique mix of cultures, experiences, beliefs and backgrounds that sets Harris apart from the rest. We constantly strive to cultivate, nurture and amplify an unparalleled environment, where we ...
-
Harris Associates L.P. Chicago, United StatesAt Harris, the true value of what makes us successful is found in our people. It is our unique mix of cultures, experiences, beliefs and backgrounds that sets Harris apart from the rest. We constantly strive to cultivate, nurture and amplify an unparalleled environment, where we ...
-
Sr. Manager, Investment Compliance
1 week ago
Aon Chicago, United StatesAon 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, Inve ...
-
Sr. Manager, Investment Compliance
3 days ago
Aon Chicago, United StatesAon 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, Inve ...
-
Sr. Manager, Investment Compliance
1 week ago
Aon Chicago, United States Full timeAon 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, Inves ...
-
Sr. Manager, Investment Compliance
2 weeks ago
Aon Chicago, United States Regular, Full or Part timeAon 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, Invest ...
-
Sr. Manager, Investment Compliance
6 days ago
Aon Chicago, United States Regular, Full or Part timeAon 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, Invest ...
-
Bisnow Chicago, United StatesOur SelectLeaders' client is seeking a dynamic Investment Accountant. · **Position Description**: · Responsible for managing various financial aspects of real estate investment entities, ensuring accuracy, compliance, and efficient communication with investors, internal teams, an ...
-
Confidential-cre Investment Accountant
1 day ago
Bisnow Chicago, United StatesOur SelectLeaders' client is seeking a dynamic Investment Accountant. · **Position Description**: · Responsible for managing various financial aspects of real estate investment entities, ensuring accuracy, compliance, and efficient communication with investors, internal teams, an ...
-
Associate - Compliance (Hybrid)
1 week ago
IQ-EQ Chicago, United States**Company Description** · IQEQ is a preeminent service provider to the alternative asset industry. IQEQ works with managers in multiple capacities ranging from hedge fund, private equity fund, and mutual fund launches; private equity fund administration; advisory firm set-up, reg ...
-
Branch Examiner
5 days ago
Oppenheimer & Co. Inc. Chicago, United States**Who We Are**: · Oppenheimer & Co. Inc. ("Oppenheimer") is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securiti ...
-
Corporate Counsel, Transactions
1 week ago
Green Thumb Chicago, United States**The Role** · **Responsibilities** · - Manage, with the supervision of the Assistant General Counsel, transactions from start to finish, including drafting NDAs and term sheets, organizing and managing the due diligence and closing processes, drafting definitive transaction docu ...
-
Accountant
6 days ago
Access Analytix Chicago, United States**Job Title**: Staff Accountant · Location: Chicago N Elston Ave - Corridor between Lincoln Park and Bucktown · **Who we are**: Join Access Analytix, a technology-driven investment and trading firm. With a focus on technological innovation and operational excellence, we implement ...
-
Analyst
1 week ago
NATIONAL COMMUNITY INVESTMENT FUND Chicago, United States**Job Title: Analyst** · **Reports to: Head of Line of Business to whom assigned · National Community Investment Fund (NCIF), national nonprofit Community Development Financial · Institution (CDFI) formed in 1996 with a mission to increase access to responsible financial products ...
-
UBS Chicago, United StatesUnited States · - Compliance · - Group Functions · **Job Reference #** · BR · **City** · - Chicago · **Job Type** · - Full Time · **Your role** · - Are you independent, analytical and have strong organizational skills? Do you know how to identify, analyze, and assess regulatory r ...
-
Client Operations Associate
1 week ago
BMO US Chicago, United States320 S Canal Street Chicago Illinois,60606 · **Strategic Context** · Our vision is to be the single reference point for service to families of significant wealth. Our mission is to be the family office that defines exceptional client experience. We seek to provide the most high-to ...
-
Investment Officer
2 days ago
State of Illinois Chicago, United States**Agency**: Teachers' Retirement System of the State of Illinois · **Closing Date/Time**: 05/31/2024 · **Salary**: $11,188 - $14,321 · **Job Type**: Salaried Full Time · **County**: Cook · **Number of Vacancies**: 1 · ****A RESUME IS REQUIRED FOR THIS JOB POSTING** · **Job Summar ...
-
Manager, Audit Services
3 days ago
CEDENT Chicago, United StatesTerms of Hire: Full time. · Job Responsibilities · - Support oversight, execution and evolution of the core audit plan supporting Client Asset Management, including delivery of thought leadership and guidance on trends and emerging risks · - Encourage an environment of teamwork, ...
-
Vice President
15 hours ago
RUSH University Medical Center Chicago, United States**Location**:Chicago, IL · **Hospital**:RUSH University Medical Center · **Department**:Treasury · **Work Type**:Full Time (Total FTE between 0. 9 and 1. 0) · **Shift: Shift 1** · **Work Schedule**:8 Hr (8:00:00 AM - 5:00:00 PM) · Summary: · The Vice President & Treasurer is a ke ...
-
Vice President
1 day ago
Rush University Chicago, United States**Location**:Chicago, IL · **Hospital**:RUSH University Medical Center · **Department**:Treasury · **Work Type**:Full Time (Total FTE between 0.9 and 1.0) · **Shift: Shift 1** · **Work Schedule**:8 Hr (8:00:00 AM - 5:00:00 PM) · Summary: · The Vice President & Treasurer is a key ...
Sr. Manager, Investment Compliance - Chicago, United States - Aon Hewitt
Description
Aon Investments USA is looking for Senior Manager, Investment ComplianceAs 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 ComplianceAon 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 andadministration 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:
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
Required Experience:
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
Preferred Experience:
Canadian compliance experience a plus
Training and development of junior staff
Experience working in a growth oriented institutional investment firm
Education:
Bachelor's 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 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.
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 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.
Eligibility for benefits is governed by the applicable plan documents and policies.2532794
#J-18808-Ljbffr