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 market. 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 SIPC. Job Overview: 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 standards. 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 performers. This position is based in our Chicago office and requires a minimum of 3 days per week onsite in office. Job Responsibilities: 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 terminations Manages the review of employee compliance with regulatory requirements and Firm policies, including tracking attestations and required filings Manages administration of compliance databases and systems. Assists in tracking and documenting compliance projects, registration requirements, and compliance affirmations Works closely with various departments within the Firm to coordinate analysis and resolution of compliance matters Coordinates external regulatory training programs Assists with administration of compliance databases and systems Assists in internal and external examinations, including follow‑up actions Keeps abreast of internal compliance rules and applicable regulatory requirements Performs other compliance duties as necessary Basic Qualifications: 2+ years of relevant experience; compliance experience preferred Bachelor's degree, preferably in accounting, finance, economics, or a related discipline Working knowledge of key regulatory bodies, including FINRA and NFA, strongly preferred Working knowledge of FINRA CRD and NFA BASIC systems Excellent analytical skills and strong attention to detail. Strong written and verbal communication skills. Ability to work both independently and collaboratively in a team environment Experience 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 discretionary bonus. Annual base salary, not including discretionary bonus eligibility: $75,000-$95,000 Perks 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 benefits and perks. Competitive health benefit offerings, including choice of three medical plans through BCBS-IL, dental, vision and flexible spending accounts Complimentary annual membership to One Medical as well as an EAP Robust 401(k) Plan with a generous match and vesting schedule Use it or lose it pre‑tax commuter benefits, corporate Divvy memberships and employer paid benefits such as term life and AD&D and disability insurance Generous paid time off, sick days, a robust holiday schedule and parental leave plans. Monthly wellness subsidy used towards wellness activities Open communication including regular Town Hall meetings with the Management Team Forward‑thinking, culture‑based organization with collaborative teams that promote diversity, equity and inclusion Free coffee & tea and “bagel Wednesday” Employee‑led Social and Philanthropy Committee to bring awareness and fun to the employees Awesome office space with a large kitchen/meeting gathering area – including a foosball and ping pong table Private, well‑equipped Mother’s room Office is conveniently located in the Chicago Loop Financial District – close to CTA and Metra Well 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, state 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 Recruitment 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. #J-18808-Ljbffr