Manager, Investment Compliance

Manage the compliance aspects of AIUSA’s marketing / sales oversight program, including the review of marketing materials and RFI / RFP documents, liaising with the business and monitoring / testing of marketing / sales related topics. Coordinate with CCO / Director on the development and delivery of training to investment advisory staff on policies and procedures Prepare and submit regulatory filings for regulated entity (Form ADV, Form PF, NFA QRP, etc.). Evaluate controls and identify potential areas of compliance vulnerability and risk and partner with the business in the creation of controls and solutions to resolve identified vulnerabilities. Serve as Compliance Subject Matter Expert (SME) when interacting with various departments within the organization. Conduct appropriate surveillance of business activities. Coordinate the annual risk assessment.

According to JobzMall, the average salary range for a Manager, Investment Compliance in 200 E Randolph St, Chicago, IL 60601, USA is between $103,000 and $127,000 per year. This range is based on the salary data collected from various sources such as job postings, surveys, and third-party data. The average salary for this position may vary based on experience, qualifications, and other factors.

Aon plc (NYSE:AON) is a global professional services firm providing a broad range of risk, retirement and health solutions. With 50,000 colleagues in 120 countries, Aon assists clients by using proprietary data and analytics to deliver insights that reduce volatility and improve performance.