Compliance Associate

4 weeks ago

Chicago, United States Nanhua USA LLC Full time

**Company Profile**:
Nanhua USA LLC (“Nanhua USA”) is and member of the National Futures Association and registered as futures commission merchant (FCM) with the U.S. Commodity Futures Trading Commission (CFTC). Nanhua USA Futures LLC is a rapidly growing FCM located in Chicago with clearing memberships on the CME Group exchanges, the MGEX and ICE US. It is dedicated to providing global brokerage services, asset management solutions, and advanced financial education to the American and Chinese market along with its ultimate parent, Nanhua Futures Co., Ltd and affiliates.

**Responsibilities**:
**Job Type**:full-time, on-site

**Job Duties**:
The duties shall include, but not limited to:

- Coordinate the enrollment of applicable Firm new hires into required regulatory trainings including Anti-Money Laundering (AML), Cybersecurity, and ethics training, as applicable
- Coordinates the annual training requirements including AML, cybersecurity, segregated funds, and periodic ethics training requirements as well as other training programs the Firm undertakes
- Participates in the completion of the annual compliance audit by the firm's designated self-regulatory organization
- Coordinates with the CCO to administer the annual anti-money laundering compliance audit
- Assists CCO to perform AML and KYC check for new on-boarding clients and existing clients and assist with the new account documentation process.
- Assist with third-party service provider reviews
- Performs the necessary AML checks for client’s deposit and withdrawal procedures
- Respond to regulatory requests as required.
- Collaborates with other departments (e.g., Risk Management, Finance and Settlement, etc.)
- Coordinates the maintenance and filing of required policies, procedures, and records
- Maintains prompt and regular attendance with good communication skills both written and oral.
- This list of responsibilities may not be all-inclusive and can be expanded to include other duties or responsibilities as needed

**Qualifications**:

- Bachelor's degree in Finance or Business or equivalent years’ experience in finance, compliance, or auditing preferred; Familiarity with commodity derivatives preferred
- Working experience: minimum of three (3) years relevant work experience at a futures commodity merchant or related businesses is required;
- Demonstrated proficiency using Microsoft Office;
- U.S. work authorization for any employer is required;
- Skilled in researching, interpreting, and disseminating information on compliance regulations and laws
- Demonstrated strong organizational, interpersonal and communication skills.

**Salary**: $50,000.00 - $60,000.00 per year

**Benefits**:

- Health insurance

Schedule:

- Monday to Friday

Work setting:

- In-person
- Office

**Experience**:

- Compliance: 1 year (preferred)

**Language**:

- Chinese (required)

Ability to Commute:

- Chicago, IL 60606 (preferred)

Work Location: In person

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