Aon Is Looking For A Compliance Manager, Investment Consulting
As part of an industry-leading team, you will help empower results for our clients by delivering innovative and effective solutions as part of our Compliance team in Chicago.
Your Impact As A Compliance Manager, Investment Consulting
Aon Hewitt Investment Consulting, Inc. (\u201cAHIC\u201d)\u00a0is a registered investment adviser with the Securities and Exchange Commission (\u201cSEC\u201d). AHIC\u2019s compliance department provides service, support, and advice to promote assist in AHIC\u2019s growth and development while helping employees and AHIC meet its regulatory obligations, and more broadly, to preserve and enhance our reputation for integrity.
The Compliance Manager\u2019s primary role is to assist the CCO with the development and management of the firm\u2019s compliance program. Additionally, this role will assist with the day-to-day coordination and review of marketing materials, administration of the firm\u2019s compliance program including Code of Ethics monitoring and reporting, monitoring and testing of policies and procedures.
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:
Assist in the development and maintenance of investment advisory compliance manual for existing and new priorities;
Coordinates with CCO on the development and delivery of training to investment advisory staff on policies and procedures;
Administer, manage and conduct advertising review process and provide business partners guidance relating to the development of advertising materials, RFPs and client communications to ensure compliance with relevant laws and regulations;
Manage the administration of the Firm\u2019s code of ethics\/personal trading policies through the Firm\u2019s compliance software, Schwab Technologies;
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 potential similar future issues;
Interact with various departments within the organization to ensure consistency in policies and procedure;
Participate in the annual risk assessment and annual review of the Firm\u2019s policies and procedures;
Conceptualize new surveillance to address emerging trends and regulatory rules;
Assist with the Firm\u2019s responses and documentation requests to any regulatory inquiries, third party examiners and internal audit;
Conduct appropriate surveillance of business activities;
Additional administrative duties and special projects, as needed.
You Bring Knowledge and Expertise
Bachelor\u2019s degree required;
5-7 years of experience in a compliance function for a SEC-registered investment adviser;
Experience reviewing marketing materials and RFPs for an investment adviser;
Demonstrated ability to work independently and collaboratively in a team-oriented environment;
Strong 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);
Has the ability to analyze situations for compliance and business risk, and implement solutions to address and mitigate such risk;
Possess a high moral character and professional integrity;
Ability to multi-task effortlessly and manage competing priorities under demanding deadlines
Strong project management skills;
Well organized, detail-oriented, and excellent oral and written communication skills.
We offer you
A competitive total rewards package, continuing education & training, and tremendous potential with a growing worldwide organization.
Our Colleague Experience:
From helping clients gain access to capital after natural disasters, to creating access to health care and retirement for millions, Aon colleagues empower results for our clients, communities, and each other every day. They make a difference, work with the best, own their potential, and value one another. This is the Aon Colleague Experience, defining what it means to work at Aon and realizing our vision of empowering human and economic possibility. To learn more visit Aon Colleague Experience.
Aon plc (NYSE:AON) is a leading global professional services firm providing a broad range of risk, retirement and health solutions. Our 50,000 colleagues in 120 countries empower results for clients by using proprietary data and analytics to deliver insights that reduce volatility and improve performance.
By applying for a position with Aon, you understand that, should you be made an offer, it will be contingent on your undergoing and successfully completing a background check consistent with Aon’s employment policies. Background checks may include some or all of the following based on the nature of the position: SSN\/SIN validation, education verification, employment verification, and criminal check, search against global sanctions and government watch lists, fingerprint verification, credit check, and\/or drug test. You will be notified during the hiring process which checks are required by the position.
Aon provides equal employment opportunities (EEO) 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, or domestic partner status. Aon is committed to a diverse workforce and is an affirmative action employer.
Website : http://www.aon.com
Aon plc is the leading global provider of risk management services, insurance and reinsurance brokerage, and human resource consulting and outsourcing. Through its more than 62,000 colleagues worldwide, Aon delivers distinctive client value via innovative and effective risk management and workforce productivity solutions.