Director of Compliance - Deputy CCO (FCM)

About ABN AMRO Clearing USA LLC
ABN AMRO Clearing USA LLC (AAC-USA) is a subsidiary of ABN AMRO Clearing Bank N.V., a global clearing firm that provides an integrated suite of financial services to professional trading participants in the global financial market. Our core service offerings consist of execution, clearing, financing, stock borrowing and lending, settlement and custody. Today we clear and finance over 16 million trades per day and cover 90 of the world's leading exchanges across Europe, the Americas and Asia Pacific. Our international network provides comprehensive market access to exchange-listed instruments such as stocks, futures and options. It also covers non-exchange listed investment instruments and alternative products including bonds, OTC derivatives, warrants, forex, forwards, and energy and commodities. ABN AMRO Clearing consistently ranks among the top three clearers in every time zone, based on turnover and market share.
Job Overview
Provide leadership to a compliance team of a dual registrant firm (Futures Commission Merchant (FCM) and broker-dealer) to ensure the firm's activities, policies and procedures are in compliance with applicable laws and regulations and enterprise-wide policies. Responsible for managing the day-to-day operations of the compliance staff dedicated to the FCM agenda. This position reports to the Chief Compliance Officer.
Job Responsibilities

• Engage with key business lines to support compliance management in the development, implementation and maintenance of an enterprise-wide compliance program and culture of compliance; conduct risk-assessments
• Manage a staff of three compliance professionals
• Identify and remediate compliance gaps and risks
• Maintain a high level of awareness and knowledge of all existing and new regulatory requirements
• Evaluate the adequacy of business line policies, procedures, and systems for adherence with applicable regulatory requirements and internal policies
• Align compliance framework with the global compliance charter
• Advise all business lines and personnel on all futures compliance related matters
• Assist with preparation of the annual Chief Compliance Officer report
• Ensure proper internal and required regulatory reporting of rule violations, regulations, policies, procedures, and material changes as necessary
• Conduct annual and periodic branch office compliance reviews; review, investigate, and respond to customer complaints; coordinate distribution of required customer disclosures
• Conduct on-going compliance surveillance, reviews, and testing
• Research and respond to regulatory requests (CFTC, NFA, exchanges)
• Lead and participate in all regulatory examinations
• Participate in development and delivery of annual and ongoing employee training (e.g., ethics training, customer protection training, general firm-wide policies and procedures)
• Develop project plans to monitor and track progress; work on special projects as needed
• Responsible for all other compliance duties applicable to the firm

Job Requirements

• Minimum of 8 years of experience in compliance with 3+ years in futures compliance
• Broad knowledge of futures clearing operations
• Bachelor's degree from an accredited college/university preferably in accounting, finance, economics or related discipline
• JD or MBA a plus

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
• Flexible hybrid work schedules
• 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 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. Additionally, AAC-USA participates in the E-Verify program in the US.