Compliance Officer, Finance & Banking

Overview

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 Outsourced Chief Investment Officers (OCIO) providers in the world measured by global assets under management.

As a member of the AIUSA Compliance Department, the Compliance Analyst will be primarily responsible for reviewing the firm’s advertising and marketing materials (i.e., presentations, responses to RFPs and RFIs, market commentary, other similar reports and communications) to ensure adherence to applicable legal and regulatory requirements, including the SEC Marketing Rule and the Global Investment Performance Standards (GIPS) as well as industry “best practices.”

Additionally, this role may assist with other areas of AIUSA’s compliance program including Code of Ethics administration, monitoring and testing of policies and procedures, and completion of special projects.

• Work closely with the business and provide reviews of all advertising and marketing communications and prospective client deliverables to ensure compliance with relevant laws and regulations within a tight timeframe.
• Discuss identified advertising collateral issues and associated solutions with compliance and business leads;
• Able to review presentations of performance data and provide disclosure guidance to business partners;
• Identification, research, and/or resolution of risk issues impacting the business;
• Participate in the annual risk assessment and annual review of the Firm’s policies and procedures;
• 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.

• 2 or more years of experience in a compliance function for a SEC-registered investment adviser or a similar or related position;
• Demonstrated ability to work independently and collaboratively in a team-oriented environment;
• Interest in gaining knowledge of relevant regulatory rules and regulations that relate to investment advisers (including the SEC Marketing rule relating to promotional material);
• Critical thinker who can analyze situations and identify compliance and business risks, and implement solutions to address and mitigate such risks;
• Excellent project management skills, including the ability to prioritize and manage multiple projects simultaneously, with last minute requests often under tight deadlines;
• Well organized, detail-oriented, and strong oral and written communication skills;
• Initiative to ask questions and proactively anticipate issues;
• Demonstrated team player; good work ethic;
• Willingness to take ownership and initiative of a project/objective.

In addition to our comprehensive benefits package, we encourage an inclusive workforce. Plus, our agile, inclusive environment allows you to manage your wellbeing and work/life balance, ensuring you can be your best self thermore, 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 and inclusive…