Compliance Analyst

Profile

Aon is looking for a Compliance Analyst, Aon Investments USA. This is a hybrid flexible work environment type role preferably to be based out of the Chicago area. As part of an industry-leading team, you will help empower results for our clients by delivering innovative and effective solutions supporting investment consulting. Aon Investments USA Inc. (“AIUSA”) is a registered investment adviser with the Securities and Exchange Commission (“SEC”). Aon’s investment consulting business is a global investment consulting firm with capabilities in every area of interest to institutional investors.  Aon is currently one of the top three OCIO providers in the world measured by global assets under management. Aon is in the business of better decisions At Aon, we shape decisions for the better to protect and enrich the lives of people around the world.  As an organization, we are united through trust as one inclusive, diverse team, and we are passionate about helping our colleagues and clients succeed.  Your impact as a Compliance Analyst, Investment ConsultingAIUSA’s compliance department provides service, support, and advice to promote AIUSA’s growth and development while helping employees and AIUSA meet their regulatory obligations, and more broadly, to preserve and enhance our reputation for integrity. The Compliance Analyst’s primary role is to assist the Compliance Director and team with the day-to-day administration of AIUSA’s compliance program including Code of Ethics monitoring and reporting, monitoring and testing of policies and procedures, and completion of special projects. Additionally, this role will assist with the review of the firm’s marketing materials, RFPs and client communications to ensure compliance with relevant laws and regulations. While the nature of the role is continually evolving as the regulatory requirements and risks facing the firm change, the following duties are generally representative of the nature and level of work assigned and are not necessarily all inclusive. Job Responsibilities:Assist in the monitoring of the day-to-day administration of the Firm’s Code of Ethics/personal trading policies through the Firm’s compliance software, MyComplianceOffice;Conceptualize and conduct ongoing surveillance to address emerging trends and regulatory rules;Identification, research, and/or resolution of risk issues impacting the business;Assist in the review, maintenance, and updates to the Firm’s regulatory filings, including those with the SEC and National Futures Association (e.g., Form ADV, Form PF, CPO-PQR/CTA-PQR);Participate in the annual risk assessment and annual review of the Firm’s policies and procedures;Assist in the review of the firm’s marketing materials, RFPs and client communications to ensure compliance with relevant laws and regulations.Assist with the Firm’s responses and documentation requests to any regulatory inquiries, third party examiners and internal audit;Interact with various departments within the organization to ensure consistency in policies and procedure;Additional administrative duties and special projects, as needed.Required Experience:0-3 years of experience in a compliance function for a SEC-registered investment adviserDemonstrated ability to work independently and collaboratively in a team-oriented environmentBasic 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, ERISA);Critical thinker who can analyze situations and identify compliance and business risks, and implement solutions to address and mitigate such risks;Possess a high moral character and professional integrity;Well organized, detail-oriented, and excellent oral and written communication skills.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 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 (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, domestic partner status, or other legally protected status.  Aon is committed to a diverse workforce and is an affirmative action employer. People with criminal histories are encouraged to apply.  We provide individuals with disabilities reasonable accommodations to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment in accordance with applicable law. Please contact us to request an accommodation on ReasonableAdjustments@Aon.com 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 is between $58,000-80,000 annually. The actual salary will vary based on applicant’s education, experience, skills, and abilities, as well as internal equity and alignment with market data.  This position is eligible to participate in one of Aon’s annual incentive plans to receive an annual discretionary bonus in addition to the base salary.  The amount of any bonus varies and is subject to the terms and conditions of the applicable incentive plan.  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.82 #LI-AB1  #LI-HYBRID  2524907,qualifications:UNAVAILABLE,responsibilities:Aon is looking for a Compliance Analyst, Aon Investments USA. This is a hybrid flexible work environment type role preferably to be based out of the Chicago area. As part of an industry-leading team, you will help empower results for our clients by delivering innovative and effective solutions supporting investment consulting. Aon Investments USA Inc. (“AIUSA”) is a registered investment adviser with the Securities and Exchange Commission (“SEC”). Aon’s investment consulting business is a global investment consulting firm with capabilities in every area of interest to institutional investors.  Aon is currently one of the top three OCIO providers in the world measured by global assets under management. Aon is in the business of better decisions At Aon, we shape decisions for the better to protect and enrich the lives of people around the world.  As an organization, we are united through trust as one inclusive, diverse team, and we are passionate about helping our colleagues and clients succeed.  Your impact as a Compliance Analyst, Investment ConsultingAIUSA’s compliance department provides service, support, and advice to promote AIUSA’s growth and development while helping employees and AIUSA meet their regulatory obligations, and more broadly, to preserve and enhance our reputation for integrity. The Compliance Analyst’s primary role is to assist the Compliance Director and team with the day-to-day administration of AIUSA’s compliance program including Code of Ethics monitoring and reporting, monitoring and testing of policies and procedures, and completion of special projects. Additionally, this role will assist with the review of the firm’s marketing materials, RFPs and client communications to ensure compliance with relevant laws and regulations. While the nature of the role is continually evolving as the regulatory requirements and risks facing the firm change, the following duties are generally representative of the nature and level of work assigned and are not necessarily all inclusive. Job Responsibilities:Assist in the monitoring of the day-to-day administration of the Firm’s Code of Ethics/personal trading policies through the Firm’s compliance software, MyComplianceOffice;Conceptualize and conduct ongoing surveillance to address emerging trends and regulatory rules;Identification, research, and/or resolution of risk issues impacting the business;Assist in the review, maintenance, and updates to the Firm’s regulatory filings, including those with the SEC and National Futures Association (e.g., Form ADV, Form PF, CPO-PQR/CTA-PQR);Participate in the annual risk assessment and annual review of the Firm’s policies and procedures;Assist in the review of the firm’s marketing materials, RFPs and client communications to ensure compliance with relevant laws and regulations.Assist with the Firm’s responses and documentation requests to any regulatory inquiries, third party examiners and internal audit;Interact with various departments within the organization to ensure consistency in policies and procedure;Additional administrative duties and special projects, as needed.Required Experience:0-3 years of experience in a compliance function for a SEC-registered investment adviserDemonstrated ability to work independently and collaboratively in a team-oriented environmentBasic 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, ERISA);Critical thinker who can analyze situations and identify compliance and business risks, and implement solutions to address and mitigate such risks;Possess a high moral character and professional integrity;Well organized, detail-oriented, and excellent oral and written communication skills.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 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 (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, domestic partner status, or other legally protected status.  Aon is committed to a diverse workforce and is an affirmative action employer. People with criminal histories are encouraged to apply.  We provide individuals with disabilities reasonable accommodations to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment in accordance with applicable law. Please contact us to request an accommodation on ReasonableAdjustments@Aon.com 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 is between $58,000-80,000 annually. The actual salary will vary based on applicant’s education, experience, skills, and abilities, as well as internal equity and alignment with market data.  This position is eligible to participate in one of Aon’s annual incentive plans to receive an annual discretionary bonus in addition to the base salary.  The amount of any bonus varies and is subject to the terms and conditions of the applicable incentive plan.  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.82 #LI-AB1  #LI-HYBRID ,skills:UNAVAILABLE,workHours:UNAVAILABLE,jobBenefits:,datePosted:2023-03-07T00:45:00 0000,employmentType:FULL_TIME,educationRequirements:UNAVAILABLE,salaryCurrency:USD,baseSalary:{@type:MonetaryAmount,currency:USD,value:{@type:QuantitativeValue,value:0,minValue:0,maxValue:0,unitText:YEAR}},validThrough:2024-03-09T20:30:47.000Z,industry:UNAVAILABLE,hiringOrganization:{@type:Organization,name:Aon Corporation,sameAs:https://jobs.aon.com,logo:https://assets.jibecdn.com/prod/aon/0.0.51/assets/brands/https://aon.icims.com/icims2/servlet/icims2?module=AppInert&action=download&id=1134557&hashed=154379},jobLocation:{@type:Place,address:{@type:PostalAddress,addressLocality:Chicago,addressRegion:Illinois,streetAddress:200 E Randolph,postalCode:60601,addressCountry:United States}}}

Company info

Aon PLC.
Website : http://www.aon.com