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Senior Compliance Oversight Officer, Investments

4 months ago

Chicago, Illinois, United States Aon Full time

Aon Investments USA is looking for Senior Compliance Oversight Officer, Investments

(Chicago or open to any remote location across the U.S.)

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 Compliance Oversight Officer, Investments

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 Senior Compliance Oversight Officer's primary role is to assist the CCO (Chief Compliance Officer) and Deputy CCO in leading the department's compliance and risk management program. This includes the review and oversight of the firm's marketing materials, risk assessment and monitoring/testing program. This role has cross-border exposure to our Canadian and United Kingdom affiliates.

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, liaising with the business and monitoring / testing of marketing / sales related topics
  • Lead the firm's annual risk assessment
  • 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
  • Assist in the preparation of regulatory filings (e.g., Form ADV, Form PF)
  • Conceptualize and implement new surveillance and testing programs
  • Additional special projects and tasks

Required Experience:

  • 5+ years of relevant experience in a compliance function for an SEC-registered investment adviser
  • In-depth knowledge of the SEC Marketing Rule
  • 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)
  • 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:

  • Understanding of the Investment Advisor Marketing rule
  • Canadian compliance / cross-border 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 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 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 salary range for this position (intended for U.S. applicants) is $107,000 to $143,000 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. The salary may also be adjusted based on applicant's 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.



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.