Control Operations Associate

Winner of Built In's 2025 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 Control Operations Associate plays a key role in ensuring the accuracy and integrity of client trading activity by reconciling transactions, investigating discrepancies, performing regulatory reporting, and driving continuous process improvements. Opportunity for someone who thrives on precision, solving complex problems, and views operations as a foundation for innovation, risk reduction, and regulatory transparency. You will be responsible for maintaining accurate books and records, supporting internal stakeholders, and meeting the firm's obligations to external regulators.
Job Responsibilities:

• Reconcile equity market breaks between the Exchange and the firm's internal booking system
• Safeguard the accuracy of financial data used for internal reporting and external regulatory submissions
• Prepare, validate, and submit regulatory reports related to equity trading activity in accordance with industry (e.g., SEC, FINRA)
• Monitor reporting exceptions and coordinate remediation efforts with internal teams to ensure compliance and completeness
• Collaborate with commercial, treasury, finance, and technology teams to resolve exceptions and improve control processes
• Communicate with internal and external stakeholders, including regulators, to clarify and resolve reporting or data issues
• Leverage data analysis and root cause techniques to identify recurring issues and drive preventive process improvements
• Partner with technology to enhance reconciliation and reporting tools, reduce manual intervention, and support scalability
• Contribute to a culture of regulatory accountability, operational integrity, and cross-functional collaboration

Basic Qualifications:

• 3+ years experience in financial operations, control, or reconciliation-focused role
• Bachelor's degree in Finance, Accounting, Economics, or related field preferred
• Strong attention to detail with the ability to identify patterns and root causes in large data sets
• Strong communicator with the ability to explain complex issues to non-technical stakeholders
• Adaptable, curious, and comfortable with change
• Proficiency in Microsoft Excel, including pivot tables and advanced formulas
• Series 99 certification or ability to pass by the end of the year

Preferred Qualifications:

• Series 7 certification
• Experience in equity regulatory submission (e.g., SEC, FINRA, LOPR, Electronic Blue Sheets and Short Interest Reporting)
• Exposure to VBA, SQL, JIRA, Python, or similar tools used in process automation and analysis
• Experience using data visualization software such as Tableau or Microsoft Power BI

Annual base salary, not including discretionary bonus eligibility: $80,000 - $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.
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.