Willis Towers Watson

Americas Investment Compliance Officer

Posted on Feb 16 3 views Chicago, IL

Willis Towers Watson’s Investment business assists its institutional investor clients in the management of their investment portfolios by offering a variety of pooled fund solutions (including an innovative managed account platform), delegated investment services (“DIS”), and traditional investment consultancy services. Our clients include some of the world’s largest pension plans, insurers, sovereign wealth funds and endowments. As a leading global investment firm, we help our clients improve their ability to achieve their investment mission by managing investment complexity and identifying the best investment solutions for them. We combine innovative thinking with capable execution so our clients can successfully balance risk and return.

Our Investment business employs over 900 associates worldwide, with more than 1,200 institutional investors as clients and has over $2.3 trillion of assets under advice and $82.5 billion of assets under management.

The Role

The role is a member of the Americas Investment Compliance team for Willis Towers Watson’s Investment Businesses in the Americas.
Responsibilities include but are not limited to:

  • Cultivating and promoting relationships with key business partners and fostering and promoting a culture of compliance
  • Overseeing personal trading and associated compliance related certifications via StarCompliance
  • Reviewing marketing and sales materials that are subject to US and Canadian requirements, including FINRA
  • Assisting the Chief Compliance Officer with the Annual Compliance Review of the US Investment Business in accordance with Rule 206(4)-7
  • Preparing and submitting updates and amendments to Form ADV as necessary
  • Assisting the CCO with the maintenance and periodic review of compliance policies and procedures
  • Monitoring for compliance with applicable policies and procedures
  • Identifying regulatory changes that may affect the existing compliance programs of the US and Canadian Investment businesses
  • Preparing management information reports for legal entity boards and various governance committees
  • Reviewing emails of Registered Representatives
  • Training employees regarding regulatory compliance requirements both on an ad hoc and formalized basis
  • Assisting with maintaining records and compiling information requested for SEC and divisional audits; interfaces with SEC examination teams, Willis Towers Watson Internal Audit, and external auditors utilized by Willis Towers Watson from time to time
  • Other tasks as necessary to provide strong compliance support to a growing and evolving business

The Requirements

  • Bachelor’s degree in business or related field strongly preferred; equivalent education and experience will be considered
  • Series 7, Series 63, and Series 24 registrations (or the ability to obtain within 60 days of start date)
  • Strong knowledge of the Investment Advisers Act of 1940
  • Knowledge of CFTC regulations, ERISA, and Regulation D a strong plus
  • Familiarity with Canadian investment regulations and the willingness to obtain Canadian securities registration status
  • 3+ years of relevant work experience in the investment management industry
  • Experience with privately offered pooled vehicles is a strong plus
  • Excellent oral and written communication skills
  • Strong project management skills
  • Provide leadership in achieving project goals

EOE, including disability/vets