Top Compliance Jobs in Chicago, IL

Manages regulatory and operational issue lifecycles, customer remediations, root cause investigations, controls assessments, documentation quality reviews, deadlines, escalations, and audit-related data requests. Partners cross-functionally to address compliance requirements, improve issue management processes, and prevent recurrence of business and system issues.

Supports regulatory compliance programs for SMB and consumer lending businesses. Responsibilities include researching consumer protection laws, responding to compliance inquiries, conducting diligence and risk reviews, supporting audits and testing, identifying operational gaps, performing root cause analysis, and implementing policy and process changes. The role coordinates with business units and advisory teams while monitoring compliance with lending regulations such as UDAP/UDAAP, ECOA, FCRA, TILA, and TCPA.

Oversee U.S. state and local income tax compliance, filings, forecasting, tax accounting, planning, audit defense, and compliance processes. Coordinate with external providers, review tax calculations and workpapers, monitor legislative developments, provide tax guidance to management, and improve compliance procedures. The role requires strong state tax expertise, ASC 740 and U.S. GAAP knowledge, communication skills, and experience in a large public accounting firm or multinational corporation.

Executes risk-based compliance reviews to independently validate business adherence to laws, regulations, and internal frameworks. The role tests regulatory requirements, data, automation, and controls; analyzes data; manages review schedules and documentation; supports audits and exams; and collaborates with compliance advisors, business teams, and analytics professionals to improve testing approaches. Strong judgment, problem-solving, communication, and professional skepticism are required.

Leads enterprise compliance testing across a financial institution, managing multi-tiered teams, testing methodologies, calendars, data scripts, reporting, and audit responses. Partners with compliance, data, technology, and business teams to improve testing through innovation, communicate significant findings to senior leadership, and ensure timely, accurate execution. The role requires substantial financial services compliance, risk, audit, people leadership, regulatory, and analytical experience.

Executes risk-based compliance reviews to independently validate business adherence to laws, regulations, and control frameworks. Tests business processes, data, automation, and regulatory controls; analyzes data; documents results; manages review schedules; supports audits and examinations; and partners with Compliance Advisors and business teams to improve testing approaches. The role requires strong judgment, skepticism, communication, and the ability to explain technical findings to nontechnical stakeholders.

Supports compliance monitoring and supervision for CashNetUSA products. Owns customer remediation and issue management from root-cause investigation through corrective action, system fixes, testing, and redress. Identifies compliance exceptions, analyzes complaint trends, develops process improvements, maintains monitoring systems, documents regulatory and product knowledge, and supports audits. The role collaborates cross-functionally to resolve operational issues and align business processes with federal and state requirements.

Manage tax planning, compliance, and reporting across a multi-entity organization. Serve as primary tax authority, coordinate with external advisors, oversee partnership and indirect tax compliance, maintain filing calendar, handle information reporting (1099/1042), support international tax matters, liaise with government authorities, and improve tax processes and controls.

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.

Own compliance advisory for the Affirm Card program across marketing, onboarding, payments, disputes, servicing, and new product features. Apply consumer finance regulations, review disclosures and UX, lead root-cause analysis and remediation, maintain risk assessments and controls, support regulatory exams and audits, and develop compliance training. Partner closely with Product, Engineering, Operations, Legal, Risk, and senior leadership to make independent, risk-based decisions.

Administer the compliance testing program by conducting regulatory reviews, reporting findings, identifying control gaps, and coordinating remediation. Partner cross-functionally with Legal, Risk, Product, Engineering, Operations, and management. Support compliance risk assessments, control inventory, process improvements, and regulatory analysis for new or revised products and services.

Performs Level 2 sanctions alert reviews for fiat and cryptocurrency transactions, makes case disposition decisions, conducts on-chain investigations, and provides sanctions guidance. Supports screening oversight, regulatory reporting, policy and procedure development, regulatory monitoring, risk-based projects, and team mentoring. Requires financial institution or government sanctions experience, OFAC and BSA/AML knowledge, blockchain analytics expertise, and strong communication skills.

Serve as a second-line Compliance partner for the New-to-Credit card business, advising on product development, controls, monitoring, remediation, and regulatory requirements. Perform control assessments, validations (including UDAAP), review audit and exam issues, support third-party compliance testing, analyze compliance data, and participate in governance and reporting to ensure scalable, compliant business growth.

Provides second-line compliance and risk management support for a credit card business. Advises leaders on regulatory requirements, product development, controls, policies, monitoring, remediation, UDAAP, compliance testing, third-party compliance, and governance reporting. Reviews control assessments, evaluates audit and regulatory issues, identifies risks, and recommends corrective actions. Requires strong knowledge of compliance frameworks, applicable laws, and card operations, with occasional travel to company locations.

Reviews customer complaints to determine regulatory filing requirements under FINRA rules, performs quality assurance, prepares regulatory reports, analyzes complaint trends, builds controls and metrics, and improves compliance procedures. The role also trains contractors, drafts standard operating procedures, maps workflows, escalates high-risk cases, and supports senior management reporting and cross-functional compliance initiatives.

Supports Cboe Clear US compliance through regulatory analysis, policy and procedure development, control enhancement, risk assessments, monitoring, testing, issue tracking, and remediation oversight. Prepares regulatory filings, examination and audit responses, compliance reports, and Board and committee materials. Partners with business, risk, operations, technology, and legal teams to address evolving CFTC and SEC requirements and strengthen the clearinghouse compliance program.

Leads Acrisure’s U.S. enterprise compliance program across insurance and financial services businesses. Responsibilities include developing policies, monitoring regulatory changes, assessing compliance risks, conducting reviews and testing, coordinating regulatory inquiries and examinations, delivering training, preparing executive and Board reporting, and developing compliance dashboards. The role partners with Legal, Risk, HR, Internal Audit, Finance, IT, and business leaders to mitigate regulatory exposure and maintain effective compliance controls.

Investigate client accounts and transactions for money laundering, terrorist financing, and other financial crime risks. Analyze transaction data and client profiles, identify anomalies and red flags, prepare investigative case files and reports, collaborate with stakeholders on escalations, document monitoring activity, and stay current on AML/CFT regulations and emerging financial crime trends.

Conduct enhanced due diligence and AML compliance reviews for correspondent foreign financial institution accounts. Responsibilities include reviewing KYC profiles and transactions, performing negative-news and public-domain research, preparing risk assessments, investigating and escalating issues, coordinating documentation and deadlines, supporting procedures and training, and serving as the CAFFI subject matter expert.

Investigate client accounts and transactions for money laundering, terrorist financing, and other financial crime risks. Analyze transaction patterns, identify anomalies and red flags, prepare investigative case files and narratives, collaborate with internal stakeholders, document activity, and maintain knowledge of AML/CFT regulations and emerging typologies.

Leads regulatory compliance engagements for private fund and investment clients. Responsibilities include developing and testing compliance programs, managing regulatory filings and annual reviews, updating policies, leading client training and mock exams, supporting SEC and FINRA examinations, monitoring regulatory changes, strengthening internal controls, mentoring staff, and supporting outsourced Chief Compliance Officer functions.

Develop and implement a risk-based U.S. compliance program, including regulatory monitoring, risk assessments, controls, financial crime initiatives, whistleblowing, conflicts of interest, training, and regulatory change management. Advise U.S. leadership, support regulatory examinations, oversee compliance reporting, and partner with global Compliance, Legal, Risk, Audit, and business teams to promote ethical conduct and manage regulatory risk.

Lead and manage the firms compliance programs including Code of Ethics, AML/KYC review, trade surveillance, marketing review, policy and training development, vendor and technology oversight, regulatory filings, and integration of AI and automation to improve compliance efficiency.

Own Motive’s global financial products compliance program across AML/BSA, sanctions, KYC/KYB, PEP screening, transaction monitoring, lending compliance, audits, and regulatory relationships. Develop policies and controls, ensure operational effectiveness, manage bank and card network partners, monitor regulatory changes, support compliant product launches, and establish governance across multiple jurisdictions including the US, Canada, and UK/EU. Build the compliance function and advise leadership on compliance risk.

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.