Compliance and Ops

Aon Securities Compliance and Operations Director

This is a hybrid role with the flexibility to work both virtually and from either our Chicago or New York City offices

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 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