Top Compliance Analyst Jobs in Chicago, IL

Develops and administers a firm-wide compliance program for an options market-making and proprietary trading broker-dealer. Responsibilities include maintaining policies, conducting risk assessments and compliance reviews, overseeing surveillance, managing employee disclosures and information barriers, supporting regulatory filings, maintaining FINRA CRD records, coordinating vendors, and delivering compliance training. The role requires strong knowledge of SEC, FINRA, and CBOE rules, options trading, project management, and securities licensing.

Supports the Governance, Risk, and Compliance program with a focus on business continuity, disaster recovery, incident response, technology risk, SOX compliance, audit readiness, and third-party risk management. Coordinates resilience exercises, maintains governance documentation, tracks remediation activities, supports technology control implementation, reviews vendor risk assessments and SOC reports, and develops program metrics. Partners with business and technology stakeholders to improve risk management processes and organizational resilience.

Manage Baxter’s global import and export compliance operations, including customs clearance, tariff classification, valuation, country-of-origin assessments, CTPAT, ISA, FTZ, and FTA programs. Conduct audits, post-entry reviews, origin analyses, and duty-savings initiatives while collaborating with brokers, logistics providers, government agencies, and internal teams. Analyze trade data, duty spend, and compliance metrics using BI Publisher and Excel to improve performance and mitigate risk.

Supports broker-dealer and investment-advisor compliance by reviewing annuity applications and 1035 exchanges, conducting representative surveillance, performing KYC and CDD checks, maintaining Written Supervisory Procedures, coordinating compliance reporting, and overseeing regulatory training. The analyst advises business partners on FINRA and SEC requirements, assists with compliance projects, and reports to the Chief Compliance Officer.

Supports logistics internal controls by executing recurring operating routines, maintaining audit-ready documentation, coordinating controls testing, managing evidence and access reviews, compiling KPI reports, and tracking corrective actions. The role partners with Logistics, Supply Chain, Finance, Internal Audit, IT Security, and external stakeholders to identify gaps, improve process consistency, and ensure timely issue resolution and audit readiness.

Coordinates 340B Drug Pricing Program compliance across WVU Medicine entities. Performs audits of pharmacies, patient and provider eligibility, purchasing, claims, software mappings, and split-billing processes. Analyzes utilization, savings, exceptions, and discrepancies; maintains 340B software and charge-code mappings; validates data and reporting; supports covered entities and pharmacy leadership; and identifies risks involving duplicate discounts, diversion, contract compliance, and billing accuracy.

Supports compliance operations through regulatory reviews, monitoring, testing, investigations, control-gap remediation, audits, reporting, policy updates, and customer due diligence. Manages vendor compliance intake, questionnaires, policy version control, training coordination, and AI governance documentation. Partners with Legal and Security while monitoring developments in financial services, tax, privacy, and regulatory requirements.

Executes and coordinates import/export trade compliance, customs documentation, broker governance, audits, controls testing, regulatory recordkeeping, reporting, and process improvement. The role monitors transactions, supports C-TPAT and trade programs, maintains audit-ready records, coordinates cross-functional stakeholders and government agencies, and develops compliance metrics, procedures, and training materials.

Reviews marketing and customer-facing materials for regulatory compliance, performs monitoring and control testing, handles KYB/KYC and transaction-monitoring escalations, supports enhanced due diligence, maintains compliance records, assists with audits and examinations, partners with internal teams, and tracks employee compliance training.

Serves as the subject matter expert for individual disability insurance product compliance and supports supplemental health products. Monitors and interprets federal and state regulations, assesses risks, performs compliance testing, develops policies and guidance, supports product filings, and advises cross-functional teams. The role also assists with audits and regulatory examinations, develops training materials, reviews customer-facing materials, and participates in industry activities.

Conduct import entry audits, review CBP documentation, manage Post Summary Corrections, validate duty payments, monitor customs broker performance, and support HTS classification accuracy. Analyze import data to identify compliance risks and duty savings opportunities while building dashboards, reports, calculators, and automation. Collaborate with Finance, Transportation, Merchandising, customs brokers, and other teams to improve customs processes, documentation, data integrity, and global trade compliance.

Supports apprenticeship and regulatory compliance on solar construction projects. Monitors program metrics, validates certified payroll hours, maintains documentation, prepares IRA and DOL reports, resolves compliance issues, and coordinates with project, payroll, field training, and compliance teams. The role also provides guidance on regulations, tracks apprentice progress, assists with training logistics, and serves as a liaison between field and compliance personnel.

Supports the healthcare compliance program through complex monitoring, audits, risk assessments, investigations, remediation, hotline management, exclusion screening, policy development, education, reporting, and regulatory inquiry support. The role prepares compliance dashboards and documentation, maintains audit-ready records, manages conflicts of interest procedures, and recommends controls and corrective actions while partnering with cross-functional stakeholders.

Executes and helps build the IT risk and compliance program, including contract and security questionnaire reviews, control evidence collection, gap remediation, vendor risk assessments, privacy and data retention operations, policy maintenance, risk reporting, business continuity, incident response, security awareness training, audits, access reviews, and control testing.

Supports IT procurement, purchasing, vendor management, third-party risk, privacy, compliance, audit readiness, and governance activities. Responsibilities include RFPs and vendor evaluation, purchase orders and invoice reconciliation, vendor due diligence, contract compliance, policy administration, remediation tracking, business continuity and disaster recovery governance, privacy documentation, reporting, and process improvement. The role also provides guidance to less experienced team members and partners with IT Security, Legal, Privacy, Finance, auditors, vendors, and business teams.

Leads financial crime compliance business analysis across AML, KYC, transaction monitoring, sanctions screening, investigations, and regulatory reporting. Facilitates discovery, documents requirements, maps banking data, translates regulations into monitoring rules, evaluates vendor platforms, and manages UAT. Partners with compliance stakeholders, architects, developers, data engineers, and QA teams to support modernization initiatives, resolve functional questions, manage scope, and ensure effective alert generation with controlled false positives.

Conduct conflicts-of-interest research and analysis by reviewing matter intake, performing corporate and database research, designing Boolean database searches, and identifying potential conflicts for lawyer review. Communicate findings, work with Compliance Lawyers to resolve issues, maintain confidentiality, and support compliance workflow and Global Practice Standards inquiries.

Monitors U.S. and Canadian payroll compliance, regulations, tax filings, audits, controls, and employee pay accuracy. Investigates exceptions, manages corrective actions, supports SOX and regulatory audits, and coordinates payroll compliance for acquisitions and new entities. Maintains procedures, governance documentation, dashboards, and reporting while partnering with Legal, Finance, HR, vendors, and leadership to improve controls, reduce risk, and support payroll technology and transformation initiatives.

Conducts cybersecurity risk assessments, compliance reviews, audits, continuous monitoring, and remediation tracking for a federal government client. Develops security policies and compliance documentation, supports VA audit activities, coordinates corrective actions, analyzes findings, and provides prioritized risk mitigation recommendations. Collaborates with technical teams, program leaders, government stakeholders, and auditors to strengthen cybersecurity compliance and support risk-based decisions.

Supports compliance, fraud, sanctions, complaints, and dispute programs; analyzes client activity to identify risks; improves compliance workflows and tooling; collaborates with Product, Engineering, Client Services, and Finance; conducts client outreach; supports audits, examinations, investigations, and regulatory inquiries; and reports compliance trends to leadership.

The Security Compliance Analyst manages cybersecurity, data privacy, classification, retention, governance, vulnerability assessments, incident response, and ATO documentation. Responsibilities include monitoring cloud environments and system logs, using SIEM tools, analyzing security risks, supporting security policies, reporting incidents, and ensuring compliance throughout the system lifecycle. The role also collaborates with Agile teams and stakeholders to protect sensitive data and resolve information assurance issues.

Conduct CDD and EDD reviews for LATAM-related customers, investigate cross-border transactions and potential money laundering or sanctions evasion, assess OFAC exposure, review ownership and source-of-funds information, disposition screening alerts, prepare UAR escalations, and support onboarding, monitoring, risk methodology, and compliance process improvements.

Conduct independent QA reviews of AML and financial crime investigations, including transaction monitoring, sanctions screening, EDD, and name screening. Evaluate decisions, documentation, regulatory adherence, and risk-based outcomes; identify defects and provide feedback. Analyze quality trends, prepare reports and dashboards, facilitate calibration sessions, support coaching and remediation, and recommend improvements to QA frameworks, workflows, scorecards, and controls. Participate in AML projects, UAT, process validation, and AI-enabled quality initiatives.

Serve as the compliance SME for HSA, FSA, and HRA products: review marketing and customer content, lead compliance risk assessments (including AI tools), advise product and ops teams on transaction and regulatory issues, monitor regulatory changes, support escalations and audits, and recommend controls and remediation for identified risks.

Reviews mortgage loan packages, underwriting documentation, data, and fees for regulatory compliance, accuracy, completeness, and salability. Captures and audits loan information, identifies discrepancies and exceptions, researches rebuttals, runs system validations, documents findings, and coordinates with internal teams to resolve issues and meet review timelines.