Compliance Analyst, Aon Investments

Aon is looking for a Compliance Analyst, Aon Investments USA

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.

Your impact as a Compliance Analyst, Investment Consulting

AIUSA’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, Schwab Technologies.
• 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.

You Bring Knowledge and Expertise

Required Experience:

• 
  1 years of experience in a compliance function for a SEC-registered investment adviser.
• Demonstrated ability to work independently and collaboratively in a team-oriented environment.
• Basic 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.

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.

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.

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.