Investment Compliance Manager

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Aon is looking for an Investment Compliance Manager 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 an Investment Compliance Manager 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 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: 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 topicsAdminister and assist in the development and maintenance of compliance policies and procedures; evaluate regulatory updates for impact on the business help implement polices and procedures to address relevant changesCoordinate with CCO on the development and delivery of training to investment advisory staff on policies and proceduresPrepare 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 vulnerabilitiesServe as Compliance Subject Matter Expert (SME) when interacting with various departments within the organizationConceptualize and implement new surveillance and testing programs to monitor adherence to policiesConduct appropriate surveillance of business activitiesCoordinate the annual risk assessmentAssist with the Firm’s responses and documentation requests to any regulatory inquiries, third party examiners and internal auditAssist 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 policiesAdditional special projects and tasks based on business needRequired Experience:At least 5 years of experience in a compliance function for an SEC-registered investment adviserSelf-motivated professional who will take ownership of their work, think strategically, and be able to work independently and collaboratively with a teamExcellent 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 riskAbility to multi-task effortlessly and manage competing priorities under demanding deadlinesOutstanding relationship management skillsWell organized, detail-oriented, and excellent oral and written communication skillsPreferred Experience: Canadian compliance experience a plusEducation: Bachelor’s degree or equivalent work experienceWe 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.About Aon: 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. DISCLAIMER:Nothing in this job description restricts management's right to assign or reassign duties and responsibilities to this job at any time.  2499546,qualifications:UNAVAILABLE,responsibilities:Aon is looking for an Investment Compliance Manager 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 an Investment Compliance Manager 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 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: 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 topicsAdminister and assist in the development and maintenance of compliance policies and procedures; evaluate regulatory updates for impact on the business help implement polices and procedures to address relevant changesCoordinate with CCO on the development and delivery of training to investment advisory staff on policies and proceduresPrepare 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 vulnerabilitiesServe as Compliance Subject Matter Expert (SME) when interacting with various departments within the organizationConceptualize and implement new surveillance and testing programs to monitor adherence to policiesConduct appropriate surveillance of business activitiesCoordinate the annual risk assessmentAssist with the Firm’s responses and documentation requests to any regulatory inquiries, third party examiners and internal auditAssist 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 policiesAdditional special projects and tasks based on business needRequired Experience:At least 5 years of experience in a compliance function for an SEC-registered investment adviserSelf-motivated professional who will take ownership of their work, think strategically, and be able to work independently and collaboratively with a teamExcellent 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 riskAbility to multi-task effortlessly and manage competing priorities under demanding deadlinesOutstanding relationship management skillsWell organized, detail-oriented, and excellent oral and written communication skillsPreferred Experience: Canadian compliance experience a plusEducation: Bachelor’s degree or equivalent work experienceWe 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.About Aon: 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. DISCLAIMER:Nothing in this job description restricts management's right to assign or reassign duties and responsibilities to this job at any time. ,skills:UNAVAILABLE,workHours:UNAVAILABLE,jobBenefits:UNAVAILABLE,datePosted:2021-12-02T05:12:00 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:2022-12-02T05:13:19.000Z,industry:UNAVAILABLE,hiringOrganization:{@type:Organization,name:Aon Corporation,sameAs:****E Randolph,postalCode:60601,addressCountry:United States}}}

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