6,518 Aon jobs in the United States

Compliance and Operations Director - Aon Securities Compliance and Operations Director - Aon Securities Compliance and Operations Director - Aon Securities 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 How we support our colleagues Aon 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 an inclusive 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! Our continuous learning culture inspires and equips you to learn, share and grow, helping you achieve your fullest potential. As a result, at Aon, you are more connected, more relevant, and more valued. Aon values an innovative, inclusive 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 $145,000 to $175,000 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. #LI-RW1 #LI-HYBRID 2556373 Boost your career Find thousands of job opportunities by signing up to eFinancialCareers today. #J-18808-Ljbffr

• Familiarity with IT Infrastructure - Mainframe, distributed, cloud, network, disaster recovery, automation, ITIL processes
• ble to identify Audit control gaps in engineering platforms and processes
• Strong written and verbal communications and presentation skills
• ccountable to take necessary actions to continuously meet required deadlines and goals
• Convinces others by making a strong case, bringing others along to their viewpoint; builds strong, trusting relationships while being comfortable challenging ideas.
• Thinks boldly and out of the box, generates new ideas and processes, confidently pursues challenges
• Bachelor's degree preferred with Masters or equivalent experience

• Follow the processes and methodologies for risk management
• Learn to effectively use the tools required for risk management at such as PDMS / Archer
• Comply with existing risk and control commitments and requirements

• Internal Audit Department
• Technical Risk Management
• Operational Risk Management
• Regulators / Regulatory Relations
• IT Risk Community of Excellence
• Management Control Testing.

• Issues and Actions
• TRM network and app pen test findings, FOSS findings
• Risk acceptances and policy deviations
• PDMS Policy and Procedures document reviews

• ssist with articulating issues and remediation plans, drive timely submissions to control functions
• ssist IT teams in tracking audit deliverables and facilitating management's timely response to requests
• Track audit actions against defined delivery dates and assist with development of retarget plans as necessary.

• Conduct proactive Continuous Improvement Questionnaire meetings to identify MSIs, policy deviations and risk acceptances to mitigate future control function findings
• Update Process, Risk & Control (PRC) framework proactively
• Review Key Performance Indicator (KPI) maker/checker compliance
• Work closely with management and stakeholders to accurately report status of audit and regulatory actions
• Collaborate effectively with the Risk Management Center of Excellence to drive the teams' timely response to TRM, external Audit, and regulatory requests.

• Integrate risk management into each team's continuous improvement processes, roadmaps, and strategies
• Drive/facilitate control efforts
• Provide information and feedback to the CoE and control functions as appropriate
• Influence and support the Risk mindset of IT

• ccountability: Demonstrates reliability by taking necessary actions to continuously meet required deadlines and goals.
• Global Collaboration: Applies global perspective when working within a team by being aware of own style and ensuring all relevant parties are involved in key team tasks and decisions.
• Communication: Articulates information clearly and presents information effectively and confidently when working with others.
• Influencing: Convinces others by making a strong case, bringing others along to their viewpoint; maintains strong, trusting relationships while at the same time is comfortable challenging ideas.
• Innovation and Creativity: Thinks boldly and out of the box, generates new ideas and processes, and confidently pursues challenges as new avenues of opportunity.
• Bachelor's degree preferred with Masters or equivalent experience

• Minimum of 6 years of Financial Services industry related experience.
• Familiarity with IT Infrastructure - Mainframe, distributed, cloud, network, disaster recovery, automation, ITIL processes.
• ble to identify Audit control gaps in engineering platforms and processes.
• Strong written and verbal communications and presentation skills.
• Convinces others by making a strong case, bringing others along to their viewpoint; builds strong, trusting relationships while being comfortable challenging ideas.
• Thinks boldly and out of the box, generates new ideas and processes, confidently pursues challenges.
• Bachelor's degree required with Masters preferred or equivalent experience

Are you passionate about being part of a team that delivers extraordinary care to help individuals and businesses prepare for and protect their retirement? If so, then Nationwide Financial could be the place for you! At Nationwide®, "on your side" goes beyond just words. Our customers are at the center of everything we do and we're looking for associates who are passionate about delivering extraordinary care.

Sales Assistant

This position is responsible for handling basic to complex telephone/email/chat/fax inquiries from internal and external customers in an efficient, professional, and accurate manner. Provides customers with product knowledge and resolves customers concerns. Utilize functional expertise and knowledge of the business to support, develop and lead new initiatives, and maximize growth and profitability of the business.

Key Responsibilities:

•Provides support for customers by handling inquiries via calls/emails/chats, and demonstrates knowledge, understanding and experience to handle volume of internal and or external customer inquiries may include escalations

•Resolves complex questions/concerns and refer other inquiries to appropriate areas as needed

•Project Management: To initiate, execute, communicate and document projects as needed

•May act as a liaison to other departments where follow-up will be required to meet customers needs

•Assists in identifying process improvement opportunities

•Engages, inspires, educates and mentors, new hires and incumbents

•Collaborates with other areas to identify, analyze, and improve processes

•Inputs and tracks into the appropriate databases

Supervisory Responsibilities:

This job does not have supervisory duties.

Education and Experience:

•High School Diploma or GED (Preferred)

•0-2 years experience (Preferred)

•In lieu of the above education requirements, an equivalent combination of education and experience may be considered.

Certificates, Licenses, Registrations:

•Property & Casualty License (Preferred)

•SIE Exam and Series 6 and 63 Licenses (Preferred)

Functional Skills:

•Advanced product knowledge and insurance regulations knowledge

•Excellent working knowledge of Allstate s systems required to perform the role

•Ability to sell and service policies (based on requirements of the department)

•Ability to diffuse customers and agents

•Excellent working knowledge of billing concepts and Allstate s billing systems

•Effective oral and written communication skills

•Intermediate problem-solving skills

•Ability to adjust schedule according to business need

This is a hybrid role where candidates are required to into the Boise Regional office twice a week.

Job Description Summary
Do you love connecting and building new business relationships? If you have a natural curiosity, are passionate about helping people and want to accelerate both your personal and professional growth, we want to know more about you!

As an Analyst, you'll provide prompt, efficient service for assigned product and/or service center internal and external customers. You will coordinate communication between contract holders, producers and internal Nationwide departments. We'll count on you to review forms and files submitted by members or partners to ensure accurate entry into record keeping systems.

Job Description

Key Responsibilities:

• Prepares all materials to propose, sell and establish new plans and set up appropriate records: proposal illustrations, trust agreements, IRS determination reporting, employee communications and client administrative guide, census and plan information.
• Interprets plan provisions, product rules and guidelines to process requests in accordance with Plan and Legal requirements.
• Provides extraordinary care to our customers through workflow management and meeting all required service level agreements. Proactively seeks out opportunities to improve processes and the members experience through use of lean methodology.
• Follows up with appropriate internal administrative areas for completeness and accuracy of the end policy/account product.
• Researches, reviews and analyzes errors and determines best course of action for a workable solution. Takes ownership of identifying and evaluating problems and analyzing customer inquiries to determine appropriate action.
• Conducts follow up calls to service issues and questions, de-escalating complex customer requests and providing outstanding care during resolution. Includes understanding topics that require insurance or securities license and registration and when and how to route those inquiries to the properly-registered representative.
• Reviews and approves requests for withdrawal, exchanges, deposits, annuity purchases and contract cash-outs. Requests additional information when necessary.
• Compiles management information such as contract and sold case activity as needed by internal management.
• Communicates with customers, sales force, other departments, regional and/or field offices and other industry companies on topics that do not require insurance or securities licensing and registration. Collaborates and networks with outside business units to create innovative solutions for internal and external customers. Maintains appropriate records.Approves and processes business according to government regulations, contract provisions and internal procedures and controls.
• Conducts in good order reviews or other applicable requests for servicing Nationwide policies and customers for withdrawal, exchanges, deposits, annuity purchases and contract cash-outs.
• Helps with research for written responses to Nationwide formal complaints.
• Participates in special projects as assigned. Collaborates with appropriate staff to design, document, and implement process improvements and best practices

Are you passionate about being part of a team that delivers extraordinary care to help individuals and businesses prepare for and protect their retirement? If so, then Nationwide Financial could be the place for you! At Nationwide, "on your side" goes beyond just words. Our customers are at the center of everything we do and we're looking for associates who are passionate about delivering extraordinary care.

This position is with Stop Loss Small Market Sales Team and is responsible for handling basic to complex telephone/email/chat/fax inquiries from internal and external customers in an efficient, professional, and accurate manner. Provides customers with product knowledge and resolves customers concerns. Utilize functional expertise and knowledge of the business to support, develop and lead new initiatives, and maximize growth and profitability of the business. Candidate must be proficient in Microsoft suite products.

This role is full-time and hybrid Monday - Friday. 8am to 5pm. Located onsite at the Schlitz Park location in Milwaukee, Wisconsin. Compensation Grade: D2 This role does not qualify for employer-sponsored work authorization. Nationwide does not participate in the Stem OPT Extension program.

Do you love connecting and building new business relationships? If you have a natural curiosity, are passionate about helping people and want to accelerate both your personal and professional growth, we want to know more about you! As an Analyst, you'll provide prompt, efficient service for assigned product and/or service center internal and external customers. You will coordinate communication between contract holders, producers and internal Nationwide departments. We'll count on you to review forms and files submitted by members or partners to ensure accurate entry into record keeping systems.

• Prepares all materials to propose, sell and establish new plans and set up appropriate records: proposal illustrations, trust agreements, IRS determination reporting, employee communications and client administrative guide, census and plan information.
• Interprets plan provisions, product rules and guidelines to process requests in accordance with Plan and Legal requirements.
• Provides extraordinary care to our customers through workflow management and meeting all required service level agreements. Proactively seeks out opportunities to improve processes and the members experience through use of lean methodology.
• Follows up with appropriate internal administrative areas for completeness and accuracy of the end policy/account product.
• Researches, reviews and analyzes errors and determines best course of action for a workable solution. Takes ownership of identifying and evaluating problems and analyzing customer inquiries to determine appropriate action.
• Conducts follow up calls to service issues and questions, de-escalating complex customer requests and providing outstanding care during resolution. Includes understanding topics that require insurance or securities license and registration and when and how to route those inquiries to the properly-registered representative.
• Reviews and approves requests for withdrawal, exchanges, deposits, annuity purchases and contract cash-outs. Requests additional information when necessary.
• Compiles management information such as contract and sold case activity as needed by internal management.
• Communicates with customers, sales force, other departments, regional and/or field offices and other industry companies on topics that do not require insurance or securities licensing and registration. Collaborates and networks with outside business units to create innovative solutions for internal and external customers. Maintains appropriate records. Approve and process business according to government regulations, contract provisions and internal procedures and controls.
• Conducts in good order reviews or other applicable requests for servicing Nationwide policies and customers for withdrawal, exchanges, deposits, annuity purchases and contract cash-outs.
• Helps with research for written responses to Nationwide formal complaints.
• Participates in special projects as assigned. Collaborates with appropriate staff to design, document, and implement process improvements and best practices.

May perform other responsibilities as assigned.

Reporting Relationships: Reports to Operations Division Manager or Unit Manager.

Typical Skills and Experiences:

Education: High school studies. Undergraduate studies desirable. Participation in technical coursework such as LOMA, CLU, ChFC desirable.

License/Certification/Designation: FINRA Series 6 license preferred, and may be required, based on assigned product/line-of-business or distribution system.

Experience: Four or more years of related work experience, including customer service experience, preferably with cross-functional business unit exposure. Customer service experience required.

Knowledge, Abilities and Skills: Knowledge of Nationwide's suite of financial products. Excellent verbal and written communications skills in order to manage relationships with internal and external customers. Strong analytical and problem resolution skills. Ability to research, analyze and solve problems, leveraging existing and innovative methodologies. Ability to understand, anticipate and proactively act on customer needs. Proven decision-making skills necessary for customer contacts. Ability to multi-task, independently manage work and establish priorities that conform to time, service and quality standards. Strong team-building and collaboration skills.

Other criteria, including leadership skills, competencies and experiences may take precedence.

Staffing exceptions to the above must be approved by the hiring manager's leader and Human Resources Business Partner.

Values: Regularly and consistently demonstrates the Nationwide Values.

Job Conditions:

Overtime Eligibility: Non Exempt (Eligible)

Working Conditions: Normal office environment.

Associates must acquire the required federal and/or state licenses/registrations within the time period designated by the business unit. Additional licenses/registrations may be required when new products and services are implemented. If an associate fails to acquire the required licenses/registrations within the designated time period, the associate will be ineligible to continue in the position. NOTE: A credit check may be required if a license is required for this position.

ADA: The above statements cover what are generally believed to be principal and essential functions of this job. Specific circumstances may allow or require some people assigned to the job to perform a somewhat different combination of duties.

Benefits:

We have an array of benefits to fit your needs, including medical/dental/vision, life insurance, short and long term disability coverage, paid time off with newly hired associates receiving a minimum of 18 days paid time off each full calendar year pro-rated quarterly based on hire date, nine paid holidays, 8 hours of Lifetime paid time off, 8 hours of Unity Day paid time off, 401(k) with company match, company-paid pension plan, business casual attire, and more.

Nationwide is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive culture where everyone feels challenged, appreciated, respected and engaged. Nationwide prohibits discrimination and harassment and affords equal employment opportunities to employees and applicants without regard to any characteristic (or classification) protected by applicable law.

NOTE TO EMPLOYMENT AGENCIES: We value the partnerships we have built with our preferred vendors. Nationwide does not accept unsolicited resumes from employment agencies. All resumes submitted by employment agencies directly to any Nationwide employee or hiring manager in any form without a signed Nationwide Client Services Agreement on file and search engagement for that position will be deemed unsolicited in nature. No fee will be paid in the event the candidate is subsequently hired as a result of the referral or through other means.

• Base Salary plus Commission
• SIMPLE IRA retirement match up to 3%
• PTO: 3 weeks every year with unlimited carryover
• 2k raise to base salary every 4-6 months for meeting a high level of production
• Valuable experience
• Health insurance
• Training & development

• Use a customer-focused, needs-based review process to educate customers about insurance options.
• Work with the agent to establish and meet marketing goals
• Work leads, conduct appointments, identify customer needs, and market appropriate products and services.
Provide clients with financial planning and investment advice (if you have your Series 6, 63, & 65 licenses
• - if not, I can help you obtain these)
• Conduct financial reviews and recommend appropriate products.

• Bachelor's degree in finance, economics, accounting, or a related field preferred.
• Must be able to obtain relevant licenses.
• Excellent analytical, organizational, and problem-solving skills.
• Effective communication & interpersonal skills.
• Successful track record of meeting sales goals/quotas preferred.
• FINRA Series 6, 63 and 65 licenses preferred.

PIcbe39e2d4361-34600-36893171

• Managing the fiscal, accounting, revenue collection and purchasing functions for the Department.
• Works with the Bureau Manager to develop, analyze and execute TIDs Memorandum of Understanding (MOU).
• Interpreting complex written information and answering questions regarding City policies, procedures, rules and regulations.
• Developing conclusions and making recommendations.
• Manages the Department's various operating funds, ensuring sufficient cash and fund balances throughout the fiscal year.
• Forecasts revenues, develops financial forecast models, maintains budgetary control records, and analyzes reserves.
• Oversee the annual fixed asset inventory for both the Department's and the City's fixed asset tracking systems.
• Negotiates and resolves sensitive and complex financial issues.
• Monitors and assists with grant applications and agreements, as needed.
• Leads all department-wide procurement efforts in compliance with the City's procurement regulations.
• Responsible for staff development, training, supervision, and evaluation of 8 employees.
• Maintains proactive communication with the department's managers on all aspects of finance.
• Developing strong internal processes to support efficient and transparent financial controls.
• Manages the administration of contract agreements according to City Municipal Code, City policies/procedures.
• Works with the bureau's management team in the development of monthly and quarterly financial reports to be presented to the Department's Senior Leadership.
• Assists the bureau manager in the development and monitoring of the Department's annual operating and capital improvement budgets.

• A Bachelor's Degree in Finance, Accounting, Public Administration, Public Policy, Business Administration, or a closely related field*. Experience may be substituted for education on a year-for-year basis.

• Three (3) years of progressively responsible full-time experience in administrative or financial positions.
• One (1) year of the required experience must have been gained in supervisory capacity.

• Master's Degree is desirable
• Understanding of the City of Long Beach MUNIS Financial System, including Project Ledger subsidiary system/accounts.

• Excellent project management/technical skills
• Highly organized multi-tasker
• Excellent interpersonal, oral, and written communications skills
• Strong level of integrity, ethics, and good judgment
• Collaborative and inclusive management style
• Consistently exercises good judgement
• Self-motivated and results oriented
• Ability to be a thoughtful decision maker and the ability to communicate expectations and hold staff accountable for their responsibilities
• Exceptional analytical skills and attention to detail
• Dedicated to quality customer service skills

• Department Head 650.00
• Deputy Director/Manager/Director (Harbor/Utilities) 550.00
• Division Officer/Superintendent/ Chief of Staff / Administrator / Principal DCA 450.00
• Assistant to Executive / Executive Assistant / Executive Secretary/ Executive Support Staff 300.00

• Classic CalPERS Members: The City will contribute a maximum of up to two percent (2%) of base salary* for all qualified Classic CalPERS members.
• Public Employees' Pension Reform Act (PEPRA) CalPERS Members: Effective the second full pay period following City Council adoption, the City contribution will increase from two percent (2%) to three percent (3%) of base salary* for all qualified PEPRA CalPERS members.

• Yes
• No

• Yes, I possess a Bachelor's Degree in Finance, Accounting, Public Administration, Public Policy, Business Administration, or a closely related field and have attached it to my application.
• No, I do not possess a Bachelor's Degree in Finance, Accounting, Public Administration, Public Policy, Business Administration, or a closely related field but I have at least seven (7) years of professional experience to substitute for the required education.
• No I do not Yes, I possess a Bachelor's Degree in Finance, Accounting, Public Administration, Public Policy, Business Administration, or a closely related field and I do not have at least seven (7) years of professional experience to substitute for the required education.

• Yes, I have three (3) years of progressively responsible full-time experience in administrative or financial positions. One (1) year of the required experience which was gained in supervisory capacity.
• No, I do not have three (3) years of progressively responsible full-time experience in administrative or financial positions. One (1) year of the required experience which was gained in supervisory capacity.

• Yes
• No

• Yes
• No