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Compliance Officer

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Aon

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Location:
United States , Chicago

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Category:
Finance

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Contract Type:
Not provided

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Salary:

82100.00 - 100000.00 USD / Year
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Job Description:

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.

Job Responsibility:

  • 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

Requirements:

  • 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
What we offer:
  • 401(k) savings plan with employer contributions
  • employee stock purchase plan
  • consideration for long-term incentive awards
  • medical, dental and vision insurance
  • various types of leaves of absence
  • paid time off, including 12 paid holidays, 15 days of paid vacation per year, paid sick leave
  • 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
  • employee assistance program that includes free counseling sessions

Additional Information:

Job Posted:
February 14, 2026

Employment Type:
Fulltime
Work Type:
Hybrid work
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