Top Compliance Analyst Jobs in Chicago, IL

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.

Operate and scale legal, privacy, compliance, and export-control workflows. Manage e2Open and denied-party screening, privacy artifacts (DPAs, SCCs), customer diligence, audits, and cross-functional intake to accelerate enterprise transactions and maintain audit readiness.

The analyst will research filing requirements, prepare and monitor P&C rate filings, communicate revisions, support compliance operations, and monitor regulations pertinent to assigned products.

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.

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.

Independently review and draft responses to complex customer and regulatory complaints for bank and fintech partners, identify regulatory risks, manage case queues and SLAs, monitor open complaints daily, support regulator and audit requests, and maintain knowledge of consumer financial protection laws to ensure compliant resolutions.

Review and monitor clinical research records in OnCore to ensure regulatory compliance and data integrity. Reconcile CTMS data, document findings, recommend CAPAs, track remediation, support training, collaborate with stakeholders, and contribute to monitoring plans and quality improvement.

Serve as the RIA compliance subject matter expert partnering with business teams to review marketing, product, and member communications; manage IAR registrations, OBAs, ADV filings; build policies and procedures; handle member compliance issues; and support governance of proprietary and AI-driven tools.

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.

The Portfolio Oversight Analyst will manage trading controls, code client investment guidelines, handle regulatory compliance, and support trading desks. Responsibilities include preparing regulatory reports, assisting in client due diligence, and participating in overnight calls for trading issues resolution.

As a Crypto Compliance AML Analyst, you will monitor and investigate AML and fraud across crypto transactions, ensuring regulatory compliance while improving systems and processes.

Transform operational and financial data into actionable insights to support vaccine purchasing programs. Build dashboards and reports, monitor manufacturer contract compliance, analyze purchasing and enrollment trends, support revenue optimization and rebate/commission reporting, maintain Salesforce data integrity, and drive process improvement and automation across cross-functional teams.

Support Ethics & Compliance by performing compliance monitoring, quality assurance, internal investigations, third-party due diligence, contract compliance reviews, metrics/reporting, and documentation. Cross-train across audit, risk, and compliance functions and produce reports for senior leadership and the board.

Develop, implement, and maintain cybersecurity policies and data classification aligned with NIST CSF, FedRAMP High, IL5 and other standards; support ATO processes, manage compliance documentation and audits, train employees on security/privacy, and troubleshoot policy implementation for GovCloud environments.

Conducts complex financial crime investigations involving money laundering, terrorist financing, PEPs, bribery, corruption, sanctions breaches, tax evasion, and other suspicious activity. Analyzes transactions, client relationships, alerts, and risk profiles; performs research and data analytics; responds to regulatory requests; monitors emerging typologies; and supports improvements to compliance processes, systems, training, and governance.

Build and maintain SQL queries and automated data workflows to support CARF and 1099-DA regulatory reporting. Validate, reconcile, and document reporting data; partner with cross-functional teams; track work in Jira; identify automation opportunities; support testing, audits, and jurisdictional implementations.

Lead and manage SOC 1/SOC 2 exams and SOX/ICFR activities, assess and remediate ITGCs/ITACs, translate audit requirements into scalable controls, partner with engineering and finance, drive audit readiness, documentation, and automation to improve control effectiveness and audit outcomes in a cloud-native environment.

Validate that loan origination system functionality and workflows reflect regulatory requirements and policies. Design and execute scripted and exploratory tests, document findings, log issues, retest fixes, and collaborate with Compliance, Legal, Technology, and Operations to support remediation and audit-ready evidence.

Serve as the primary compliance subject-matter expert for assigned mortgage regulatory areas. Translate regulations into LOS system, business, and procedural requirements; own compliance-related changes from analysis through implementation and validation; design and support testing; document decisions for audit; and coordinate with Legal, Technology, Operations, and Compliance to maintain compliant LOS functionality and continuous improvement.

Investigate surveillance alerts and analyze market/trading data to identify market abuse and compliance risks. Improve surveillance controls and automation, support regulatory implementation, advise stakeholders, and collaborate across Compliance, Trading, Technology, Risk, and Operations.

Perform customer due diligence and regulatory verification for client onboarding. Review onboarding packages, perform identity and sanctions screening, validate ownership and licenses, complete Payment Network checks, maintain client files, document exceptions, support Senior Compliance Managers, and improve SOPs to ensure compliant onboarding.

Manage PLM/PIM systems and data (Centric, Pimberly), own product compliance (labeling, PFAS, CPSIA, CAFTA), execute EU Digital Product Passport requirements, run sustainability programs (certifications, RDS, Scope 3.1 data), and coordinate regulatory reporting and cross-functional stakeholders.

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.

Lead and execute compliance testing for BSA/AML/OFAC and consumer regulations, evaluate controls, document findings, and support remediation. Support and monitor the third-party risk management program, conduct vendor risk assessments and onboarding checks, produce leadership reports and dashboards, and help configure the GRC platform. Serve as SCRA and OFAC subject matter expert and track regulatory changes.

Monitor real-time and historical derivatives trading to detect market abuse, investigate flagged transactions, prepare investigative reports, ensure regulatory compliance, support KYC/AML enforcement, and collaborate with Legal, Risk, and Technology to improve surveillance protocols.