Top Compliance Analyst Jobs in Chicago, IL

The Senior Compliance Analyst develops and administers compliance programs, manages compliance policies, conducts reviews, and oversees compliance training and inquiries in options trading.

Support implementation and monitoring of FAR/DFARS/CAS compliance controls, assist policy and control documentation, participate in internal reviews and audit readiness, prepare government filings, produce compliance reports and dashboards, monitor regulatory updates, and collaborate with cross-functional teams.

Manage daily import/export customs compliance for US and Canada: HTS classification, valuation, country-of-origin, recordkeeping, ACE reporting, audits, CTPAT/PIP self-assessments, broker management, and KPI reporting.

Manage and maintain RMF authorizations and audit evidence (SSPs, SARs, POA&Ms, STIGs), embed compliance into engineering and CI/CD, coordinate internal assessments and external audits (FedRAMP High, CMMC 2.0, SOC 2), run risk and vendor reviews, and automate continuous control testing across federal and commercial environments.

The Lead Analyst, Product Compliance ensures compliance in product lifecycle, conducts risk assessments, collaborates with teams, and develops compliance processes for Circle's Payments product.

Support day-to-day insurance regulatory compliance across an MGA/program business: manage producer and adjuster licensing, respond to state regulator inquiries and complaints, assist with state filings and legislative monitoring, maintain regulatory records and compliance policies, and contribute to cross-functional compliance projects while leveraging AI-driven tools.

The SCA and DBA Compliance Analyst ensures compliance with the Service Contract Act and Davis-Bacon Act, managing regulatory adherence, conducting audits, and collaborating with various departments to uphold organizational integrity.

Monitor federal, state, and local tax agencies for payroll-related regulatory changes; research and interpret routine requirements; document authoritative guidance and data needs; create clear change requests for downstream teams; maintain agency relationships and audit-ready records; communicate updates to stakeholders and support process improvement initiatives.

The Compliance Analyst conducts audits, analyzes customs compliance data, collaborates with internal teams and clients, and ensures regulatory adherence while mitigating risks.

The Compliance Analyst reviews contractual obligations, manages distributions post-closing, liaises with clients and internal teams, and ensures compliance and accuracy in fund distribution processes.

As a Compliance Analyst, support content generation, manage expert call transcripts, ensure compliance with legal standards, conduct research, and improve operational efficiency.

Lead quality control and assurance for Compliance Operations, perform AML process reviews (KYC, transaction monitoring, screening), drive process improvements, partner with stakeholders and vendors, deliver quality reporting and scale the quality program.

The Compliance Analyst tracks and reviews US federal regulations, ensures product compliance, conducts assessments, and collaborates with legal and business units for regulatory issues.

The Compliance Analyst conducts onsite inspections and compliance reviews, evaluating adherence to regulations and documenting findings while communicating results to stakeholders.

Ensure Tilt's products, processes, and customer interactions comply with regulations. Manage complaints, perform UDAAP risk mapping and state regulatory research, test AI chatbot workflows, support audits, and drive process improvements through automation and data analysis.

Lead and enhance Circle's IT SOX compliance program by evaluating ITGCs, automated and IT-dependent controls, documenting SOX-ready materials, coordinating testing and remediations, liaising with IT, Security, Finance and auditors, and driving control design for system implementations and new product launches.

Review and approve retail advertising and communications for compliance with federal, state, FINRA, SEC, and insurance regulations. Research and respond to regulatory inquiries, manage SME review processes, maintain compliance documentation, and advise business units on regulatory impacts.

Review and approve retail advertising and communication for compliance with federal/state insurance and securities laws (FINRA/SEC), manage regulatory correspondence, coordinate subject-matter reviewers, track records, maintain compliance materials, and respond to regulator, customer, and producer inquiries.

Design and execute testing strategy for compliance software and related data systems. Create test plans, cases, and scripts; run functional, integration, and validation tests; identify and document defects; assess data feeds and integrations; evaluate usability; produce test reports; collaborate with SMEs, developers, and PMs to remediate issues and mitigate risks prior to release.

The Compliance Analyst will implement and manage Spellbook's US compliance program, working with various teams to ensure regulatory adherence and audit-readiness across sectors such as government and healthcare.

Perform onboarding and ongoing compliance oversight for Registered Investment Advisor (RIA) representatives, including U4/U5 and ADV 2B filings, monitoring Outside Business Activities, compliance testing, regulatory research, responding to inquiries, and coordinating with internal stakeholders to mitigate compliance risks.

Evaluate fraud concerns, resolve payment exceptions, and manage bank reconciliations. Communicate with security holders and banking partners, prepare reconciliation and reporting, process transfers, and identify process improvements. Support deal-driven schedules, occasionally working evenings or weekends.

Conduct AML/financial crime investigations by analyzing client accounts and transactions, identifying red flags, preparing case files and investigative reports, collaborating with stakeholders, and ensuring compliance with AML/CFT regulations and internal policies.

Lead customer-facing security reviews, perform risk and gap assessments, manage external audits (SOC 2, ISO, PCI, HIPAA, FedRAMP, etc.), run internal audits and security training, improve vendor risk management and compliance metrics, build/automate controls and respond to RFIs to support sales.

Support compliance monitoring, testing, and branch audits for acquired firms during integration. Conduct risk assessments, audits, and branch exams; identify trends, document workpapers, track remediation action plans, assist policy development, and report to Compliance leadership while staying current on regulatory developments.