Compliance Officers

Winner of Built In’s 2024 Best Places to Work

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 Description

Compliance Officers for Chicago, IL location. Perform compliance tasks including providing regulatory advice, drafting and implementing policies and procedures, communicating with regulators and conducting compliance testing and reporting. Participate in the development and maintenance of comprehensive written supervisory procedures and related supervisory control review. Provide analysis and resolution on compliance-related matters, and identify and communicate regulatory change. Assist in conducting on-going surveillance, reviews and testing, and ensure maintenance of proper documentation of all reviews conducted by the compliance department. Assist with the coordination of examinations with various government and regulatory organizations. Conduct mandated regulatory reviews. Approve new accounts. Assist in internal examinations, including follow-up actions. Participate in development and delivery of employee training, including continuing education. Remote work may be permitted within a commutable distance from the worksite, in accordance with company policy.

Job Requirements

Bachelor’s degree or foreign equivalent in Accounting, Economics, or a related field plus five years of progressively responsible experience in the global banking industry in the position offered, as a Compliance Analyst, or a related position required. Must have five years of experience with all of the following: Securities and commodities regulatory bodies and different regulatory regimes in a global financial services firm; identifying regulatory change, conducting impact analysis and communicating with the business; Designing and implementing revised processes in response to regulatory change; Management of regulatory and exchange inquires, Testing and monitoring of compliance controls; Development of compliance training plans and courses, Drafting and implementation of Written Supervisory Procedures, Supervisory Control Procedures and Standard Operating Procedures in alignment with global policies, Conducting regulatory reviews and/or risk assessments, Coordinating a firm’s compliance with its record keeping (Books & Records) obligations; and Reviewing client onboarding files and monitoring client activities.

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 a 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 victim 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. We believe that our differences enable 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.