Compliance Associate

ABN AMRO Clearing USA LLC; Chicago (IL); On-site; USD 75,000 - 95,000; Full time

Benefits offered by this job

Hybrid work schedules

Paid time off

Health benefits

Education stipend

Company laptop

401(k) match

Tuition assistance

Commuter benefits

Wellness subsidy

Town Hall access

Job summary

ABN AMRO Clearing USA LLC, based in Chicago, seeks a Compliance Associate to support firm-wide regulatory programs. The role starts as a growth position with exposure to examinations, policy work, and regulatory matters, progressing as performance warrants.

The role is based in our Chicago office with a minimum of three days per week onsite, collaborating across teams to ensure adherence to policy and regulatory requirements while supporting ongoing compliance initiatives.

Qualifications

• 2+ years of relevant experience in compliance roles or related fields.
• Bachelor's degree in accounting, finance, economics, or related discipline.
• Working knowledge of FINRA and NFA regulatory bodies is strongly preferred.
• Familiarity with FINRA CRD and NFA BASIC systems is desirable.
• Excellent analytical skills and attention to detail.

Responsibilities

• Owns end-to-end employee registration and licensing with FINRA/NFA bodies (CRD, NFA BASIC), including onboarding, maintenance, amendments, and terminations.
• Reviews employee compliance with regulatory requirements and Firm policies, tracks attestations and filings.
• Manages administration of compliance databases and systems.
• Tracks and documents compliance projects, registrations, and affirmations.
• Coordinates with multiple departments to analyze and resolve compliance matters.

Skills

Regulatory compliance

FINRA

NFA

Analytical skills

Written communication

Teamwork

ServiceNow

MS Office / SharePoint

Education

Bachelor's degree in accounting, finance, economics, or related discipline

Tools

ServiceNow

SharePoint

FINRA CRD

NFA BASIC

Job description

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 min 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 our employees to deliver their best work for our clients. We invest in our employees by offering a host of benefits and perks.

• Flexible hybrid work schedules (generally a minimum of three days per week onsite) with a one-time stipend to help improve hybrid working capabilities
• Generous paid time off, sick days, market-based holiday schedule, sabbatical leave, parental/bonding leave plan and volunteer day off
• Competitive health benefit offerings, including choice of medical plans through BCBS-IL, dental plan, vision and flexible spending accounts
• Complimentary annual membership to One Medical, a dedicated EAP and a benefits concierge service
• Employer paid benefits such as term life, AD&D and disability insurance
• Robust 401(k) Plan with a generous match and vesting schedule
• Annual learning stipend and tuition assistance program to help employees pursue additional education
• Company-issued laptops and role dependent mobile stipend
• Corporate Divvy memberships and pre-tax commuter benefits
• Monthly wellness subsidy available to be used towards wellness and fitness activities
• Regular, open communication including monthly Town Hall meetings with the Management Team
• A matrixed, culture-based organization with collaborative teams that promote diversity, equity and inclusion
• Free coffee & tea, fresh fruit and snacks, “bagel Wednesday” and monthly treats to celebrate workiversaries and birthdays
• Employee-led committees to bring awareness and inclusive activities to our employees
• Modern open office with a large kitchen/meeting gathering area – including foosball and ping pong tables
• 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 – with a robust business center, gym, restaurants, 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.