Compliance Associate

Winner of Built In's 2026 Best Places to Work in Chicago & Midsize Companies to Work For in Chicago

About ABN AMRO Clearing USA LLC
:
ABN AMRO Clearing USA LLC (AAC-USA) is a subsidiary of ABN AMRO Clearing Bank N.V. We are a global clearing firm that provides an integrated suite of financial services to professional trading participants in the global financial marke
t.
The core service offering consists of clearing, execution, stock borrowing and lending, settlement. AAC-USA has a Global Reach through direct and indirect clearing memberships to over 90 of the world's leading exchanges. Our international network provides comprehensive market access to exchange-listed instruments such as stocks, futures, and options. ABN AMRO Clearing USA LLC-Member FINRA, NFA, FIA and SI
PC.
Job Overv
iew:
The compliance associate role supports firm-wide compliance activities to ensure that business operations, policies, and procedures are aligned with applicable regulatory requirements and internal stand
ards.
This role is designed as a growth position, with the opportunity to expand into broader compliance responsibilities over time, including increased involvement in regulatory matters, examinations, and policy-related activities for strong perfo
rmers.
This position is based in our Chicago office and requires a min of 3 days per week onsite in
office.
Job Responsib

• ilities:
  Owns the end-to-end employee registration and licensing process with regulatory bodies, including FINRA and NFA (e.g., CRD, NFA BASIC), including onboarding, maintenance, amendments, and ter
• minationsManages the review of employee compliance with regulatory requirements and Firm policies, including tracking attestations and require
• d filingsManages administration of compliance databases and
• systems.Assists in tracking and documenting compliance projects, registration requirements, and compliance aff
• irmationsWorks closely with various departments within the Firm to coordinate analysis and resolution of complianc
• e mattersCoordinates external regulatory training
• programsAssists with administration of compliance databases an
• d systemsAssists in internal and external examinations, including follow-u
• p actionsKeeps abreast of internal compliance rules and applicable regulatory req
• uirementsPerforms other compliance duties as

necessary
Basic Quali

• fications:
  2+ years of relevant experience; compliance experienc
• e preferredBachelor's degree, preferably in accounting, finance, economics, or a related
• disciplineWorking knowledge of key regulatory bodies, including FINRA and NFA, strongl
• y preferredWorking knowledge of FINRA CRD and NFA BA
• SIC systemsExcellent analytical skills and strong attention
• to detail.Strong written and verbal communicat
• ion skills.Ability to work both independently and collaboratively in a team
• environmentExperience working IT service management platforms (
• ServiceNow)Experience with Microsoft Office Suite products including

SharePoint
Below is the expected base salary for this position. Offers will ultimately be determined based on experience, education, skill set, and performance in the interview process. This position will also be eligible for a discreti
onary bonus.
Annual base salary, not including discretionary bonus eligibility: $7
5,000-$95,000
Perk
s and Benefits
As a global leader in financial services, we rely on the strengths of our employees to deliver their best work for our clients. We invest back in our employees by offering a host of bene

• fits and perks.
  Competitive health benefit offerings, including choice of three medical plans through BCBS-IL, dental, vision and flexible s
• pending accountsComplimentary annual membership to One Medical a
• s well as an EAPRobust 401(k) Plan with a generous match and
• vesting scheduleUse it or lose it pre-tax commuter benefits, corporate Divvy memberships and employer paid benefits such as term life and AD&D and disa
• bility insuranceGenerous paid time off, sick days, a robust holiday schedule and paren
• tal leave plans.Monthly wellness subsidy used towards wel
• lness activitiesFlexible hybri
• d work schedulesOpen communication including regular Town Hall meetings with the
• Management TeamForward-thinking, culture-based organization with collaborative teams that promote diversity, equi
• ty and inclusionFree coffee & tea and "
• bagel Wednesday"Employee-led Social and Philanthropy Committee to bring awareness and fun
• to the employeesAwesome office space with a large kitchen/meeting gathering area - including a foosball and
• ping pong tablePrivate, well-equipp
• ed Mother's roomOffice is conveniently located in the Chicago Loop Financial District - close
• to CTA and MetraWell maintained building (an architectural "masterpiece") and a part of Chicago history - also includes a robust business center with a café, game-room and a shared rooftop terrace

with green space
This information is intended as a summary of potential benefits only. Eligibility for the plans and programs listed here depends on the nature of employment, length of service and other factors. Actual coverage is governed by supporting summary plan descriptions and
related policies.ABN AMRO Clearing USA (AAC-USA) is proud to be an equal opportunity employer. AAC-USA celebrates diversity and does not discriminate on the basis of actual or perceived race; creed; color; religion; alienage or national origin; ancestry; citizenship status; age; disability or handicap; sex; marital status; veteran status; sexual orientation; status as a survivor of domestic violence, sex offenses, or stalking; genetic predisposition or carrier status; gender identity or expression; or any other characteristic protected by applicable federal, sta
te or local laws.
We cultivate a culture of inclusion for all employees that respects individual strengths, views and experiences. This enables us to be a better and stronger team - one that makes better decisions and delivers better business results. AAC-USA participates in the E-Verify
program in the US.
Notice and Disclaimer to External Re
cruitment Agencies:
External recruitment agencies must have a signed agreement with ABN AMRO Clearing USA, LLC ("AAC-USA") prior to submitting a resume to fill a vacancy. In addition, a recruitment agency may only submit a resume when invited in writing by an AAC-USA Talent Acquisition Specialist to join the search to fill a specific vacancy. Any resume or other candidate information sent to AAC-USA not in accordance with the foregoing procedure will be considered exclusive property of AAC-USA, with respect to which no placement fee will be due, owing or
paid to the sender.