Aon
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Compliance Officer, Aon Investments
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Aon Overview
Aon is looking for a Compliance Officer, Aon Investments US. Are you a Compliance Officer with experience within a SEC-registered investment adviser? This could be a phenomenal opportunity for you. 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 team, and we are passionate about helping our colleagues and clients succeed. 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. Role and Responsibilities
The Compliance Analyst’s primary role is to assist the Deputy Chief Compliance Officer and team with the day-to-day administration of AIUSA’s compliance program. This includes Code of Ethics administration, monitoring and testing of policies and procedures, and completion of special projects. Additionally, this role may assist with regulatory requirements with the review of the firm’s marketing materials, RFPs, and client communications to ensure compliance with relevant laws and regulations. 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. Conceptualize and conduct ongoing surveillance to address emerging trends and regulatory rules. Identification, research, and/or resolution of risk issues impacting the business. Assist with the review, maintenance, and updates to the firm’s regulatory filings. These include those with the SEC and National Futures Association. Participate in the annual risk assessment and annual review of the procedures and policies of the firm. Support and help with the review of marketing materials, including RFPs and client communications to ensure compliance with relevant laws and regulations. Assist with the Firm’s responses and documentation requests to regulatory inquiries, third party examiners and internal audit. Interact with various departments within the organization to ensure consistency in policies and procedures. Additional administrative duties and special projects, as needed. We do not offer visa sponsorship for this role. Skills and Experience That Will Lead To Success
2+ years of experience in a compliance function for a SEC-registered investment adviser Proven 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 professional integrity. Well organized, meticulous, and outstanding oral and written communication skills. Excellent PowerPoint and Excel skills. How We Support Our Colleagues
In addition to our comprehensive benefits package, we encourage an inclusive workforce. Our agile, inclusive environment allows you to manage your wellbeing and work/life balance, ensuring you can be your best self at Aon. We offer two “Global Wellbeing Days” each year and provide flexible working styles, including Smart Working. Our continuous learning culture inspires and equips you to learn, share and grow, helping you achieve your fullest potential. Aon values an innovative and inclusive 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 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. People with criminal histories are encouraged to apply. We welcome applications from all and provide reasonable adjustments to participate in the job application and interview process and to perform essential job functions once onboard. If you would like to learn more about the reasonable accommodations we provide, email ReasonableAccommodations@Aon.com For positions in San Francisco and Los Angeles, we will consider qualified applicants with arrest and conviction records in accordance with local Fair Chance ordinances.
Aon is not accepting unsolicited resumes from search firms for this position. Pay Transparency Laws: The salary range for this position is US$70,000 to US$90,000 annually. The actual salary will vary based on education, experience, skills, and abilities, as well as internal equity and market data. The salary may also be adjusted based on geographic location. This position is eligible to participate in one of Aon’s annual incentive plans to receive an annual discretionary bonus in addition to base salary. Aon offers a comprehensive benefits package for full-time and regular part-time colleagues, including but not limited to: a 401(k) plan with employer contributions; employee stock purchase plan; eligibility for long-term incentive awards; medical, dental and vision insurance; paid time off including holidays, vacation, and sick leave; disability and life insurance; and various other benefits. Eligibility for benefits is governed by the applicable plan documents and policies. Seniority level
Associate Employment type
Full-time Job function
Quality Assurance, Legal, and General Business Note: This description reflects the information provided and excludes extraneous job postings and mentions not essential to the role.
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Compliance Officer, Aon Investments
role at
Aon Overview
Aon is looking for a Compliance Officer, Aon Investments US. Are you a Compliance Officer with experience within a SEC-registered investment adviser? This could be a phenomenal opportunity for you. 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 team, and we are passionate about helping our colleagues and clients succeed. 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. Role and Responsibilities
The Compliance Analyst’s primary role is to assist the Deputy Chief Compliance Officer and team with the day-to-day administration of AIUSA’s compliance program. This includes Code of Ethics administration, monitoring and testing of policies and procedures, and completion of special projects. Additionally, this role may assist with regulatory requirements with the review of the firm’s marketing materials, RFPs, and client communications to ensure compliance with relevant laws and regulations. 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. Conceptualize and conduct ongoing surveillance to address emerging trends and regulatory rules. Identification, research, and/or resolution of risk issues impacting the business. Assist with the review, maintenance, and updates to the firm’s regulatory filings. These include those with the SEC and National Futures Association. Participate in the annual risk assessment and annual review of the procedures and policies of the firm. Support and help with the review of marketing materials, including RFPs and client communications to ensure compliance with relevant laws and regulations. Assist with the Firm’s responses and documentation requests to regulatory inquiries, third party examiners and internal audit. Interact with various departments within the organization to ensure consistency in policies and procedures. Additional administrative duties and special projects, as needed. We do not offer visa sponsorship for this role. Skills and Experience That Will Lead To Success
2+ years of experience in a compliance function for a SEC-registered investment adviser Proven 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 professional integrity. Well organized, meticulous, and outstanding oral and written communication skills. Excellent PowerPoint and Excel skills. How We Support Our Colleagues
In addition to our comprehensive benefits package, we encourage an inclusive workforce. Our agile, inclusive environment allows you to manage your wellbeing and work/life balance, ensuring you can be your best self at Aon. We offer two “Global Wellbeing Days” each year and provide flexible working styles, including Smart Working. Our continuous learning culture inspires and equips you to learn, share and grow, helping you achieve your fullest potential. Aon values an innovative and inclusive 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 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. People with criminal histories are encouraged to apply. We welcome applications from all and provide reasonable adjustments to participate in the job application and interview process and to perform essential job functions once onboard. If you would like to learn more about the reasonable accommodations we provide, email ReasonableAccommodations@Aon.com For positions in San Francisco and Los Angeles, we will consider qualified applicants with arrest and conviction records in accordance with local Fair Chance ordinances.
Aon is not accepting unsolicited resumes from search firms for this position. Pay Transparency Laws: The salary range for this position is US$70,000 to US$90,000 annually. The actual salary will vary based on education, experience, skills, and abilities, as well as internal equity and market data. The salary may also be adjusted based on geographic location. This position is eligible to participate in one of Aon’s annual incentive plans to receive an annual discretionary bonus in addition to base salary. Aon offers a comprehensive benefits package for full-time and regular part-time colleagues, including but not limited to: a 401(k) plan with employer contributions; employee stock purchase plan; eligibility for long-term incentive awards; medical, dental and vision insurance; paid time off including holidays, vacation, and sick leave; disability and life insurance; and various other benefits. Eligibility for benefits is governed by the applicable plan documents and policies. Seniority level
Associate Employment type
Full-time Job function
Quality Assurance, Legal, and General Business Note: This description reflects the information provided and excludes extraneous job postings and mentions not essential to the role.
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