Compliance Analyst, Investment Management

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POST DATE 8/25/2016
END DATE 10/21/2016

AON Chicago, IL

Chicago, IL
AJE Ref #
Job Classification
Full Time
Job Type
Company Ref #
Mid-Career (2 - 15 years)
Bachelors Degree




Aon Is Looking For A Compliance Analyst

As part of an industry-leading team, you will help empower results for our clients by delivering innovative and effective solutions as part of our Investment Management Compliance team in Chicago.

Your Impact As A Compliance Analyst

The Compliance Analyst s primary role will be the provision of reviewing the firm s marketing materials, RFPs and client communications to ensure compliance with relevant laws and regulations. Additionally, this role will assist with the day-to-day administration of the Firm s compliance program including Code of Ethics monitoring and reporting, monitoring and testing of policies and procedures, and completion of special projects.

Job Responsibilities:

* Review 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, Schwab Technologies;

* Conceptualize new surveillance to address emerging trends and regulatory rules;

* Identification, research, and/or resolution of risk issues impacting the business;

* Review, maintain, and update 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 with the Firm s responses and documentation requests to any regulatory inquiries, third party examiners and internal audit;

* Conduct appropriate surveillance of business activities;

* 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

* Bachelor s degree required;

* 3+ years of experience in a compliance function for a SEC-registered investment adviser;

* Experience reviewing marketing materials and RFPs for an investment adviser;

* Demonstrated ability to work independently and collaboratively in a team-oriented environment;

* Strong 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);

* Familiarity with ERISA valued;

* Has the ability to analyze situations for compliance and business risk, and implement solutions to address and mitigate such risk;

* Possess a high moral character and professional integrity;

* Well organized, detail-oriented, and excellent oral and written communication skills.

* Series 7 and 24 required.

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 the leading global provider of risk management, insurance and reinsurance brokerage, and human resources solutions and outsourcing services. Our more than 72,000 colleagues worldwide empower results for clients in over 120 countries with innovative and effective risk and people solutions and through industry-leading global resources and technical expertise. To learn more visit

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.


Nothing in this job description restricts management's right to assign or reassign duties and responsibilities to this job at any time.

JOB NUMBER: 2420736
LOCATION: United States, IL, Chicago


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.

Company Size:
50,000+ Employees
Financial Services
Social Media:
200 East Randolph
Chicago, IL 60601

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