Compliance Director

Company: Aon Hewitt
Location: Chicago
Posted on: May 3, 2025

Job Description:

Compliance Director - Chicago, ILThis is a hybrid role with the flexibility to work both virtually and from our Chicago office.Aon is in the business of better decisionsAt 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, diverse team, and we are passionate about helping our colleagues and clients succeed.Aon Securities is a market leading and globally focused investment bank exclusively focused on insurance related products, including insurance-linked securities. This strategic leader will report to the Aon Securities Global CCO and will interact frequently with business leaders within the investment banking team. Aon Securities LLC has global operations and is a FINRA US registered broker dealer, and SEC Registered Investment Adviser. The primary focus includes development and operation of a Compliance Program that meets the regulatory requirements.What the day will look like

• Oversee the management, development, implementation, and maintenance of the compliance program and written supervisory procedures of the US Broker Dealer and ensure the company's compliance with all applicable regulations and corporate policies.
• Manage and help maintain a risk-based compliance program, which includes the review of Aon Securities Offices of Supervisory Jurisdiction, branches, and non-branch locations; provide recommendations for remediation of identified exceptions or deficiencies and coordinate with the business to make required changes; evaluate and implement technology solutions for compliance related surveillance.
• Supervise and maintain the various compliance applications which have been implemented to monitor employee personal trading, conflict of interest disclosures, marketing materials, registrations, and electronic communications.
• Support affiliated business compliance partners to ensure necessary compliance oversight of their securities related activities.
• Provide support to the Super Account Administrator and related processing of FINRA registrations, disclosures, and terminations, as well as management of the BD, Form ADV and required filings.
• Manage and interact with regulators on various compliance issues and during regulatory examinations and inquiries, including the preparation, gathering, and submitting of requested materials.
• Develop and administer the annual Firm Element Continuing Education training plan.
• Primary AML Compliance Officer and firm contact for internal Anti-Money Laundering Audits and Regulatory Examinations.
• In collaboration with the Global CCO, develop, communicate, and implement the department vision, mission, and strategic direction in alignment with company and department business objectives.Skills and Experience that will lead to success
  • Bachelor's degree in law, finance, business, a related field or equivalent years of industry experience.
  • Minimum of 10 years of experience in securities regulatory compliance.
  • FINRA Exam Series 3, 7, 24, 27, 63, 79 preferred.How we support our colleaguesAon 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.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!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. People with criminal histories are encouraged to apply.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 .For positions in San Francisco and Los Angeles, we will consider for employment qualified applicants with arrest and conviction record in accordance with local Fair Chance ordinances.Nothing in this job description restricts management's right to assign or reassign duties and responsibilities to this job at any time.Pay Transparency Laws:The salary range for this position (intended for U.S. applicants) is $110,000 to $145,000 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.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. The amount of any bonus varies and is subject to the terms and conditions of the applicable incentive plan.
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Keywords: Aon Hewitt, Waukesha , Compliance Director, Executive , Chicago, Wisconsin