Top Compliance Jobs in Chicago, IL

The International Tax Director will oversee international tax compliance, transfer pricing, and strategic planning, managing a team and collaborating with various departments and external advisors.

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.

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

Owner of trading operations and regulatory compliance between trading platforms and NFA/CFTC obligations. Monitor platforms, triage incidents, draft regulatory reports, manage capital charge oversight, payment rails, reconciliations, and operational runbooks. Support audits, margin compliance, MT4-to-MT5 migration, process improvements, and reporting to leadership.

Support the regulatory compliance team by maintaining policies, controls, and processes; advise business units on regulatory obligations; drive remediation of findings; support compliance monitoring, reporting to leadership and the Board, exam preparation, and training. Keep abreast of regulatory changes and strengthen compliance frameworks across the organization.

Serve as second-line compliance advisor for US Card business, providing regulatory guidance (Reg Z, Reg B, FCRA, UDAAP), performing control assessments, advising on product/process changes, supporting compliance testing and remediation, participating in governance and reporting, and partnering with business leaders to integrate compliance into strategy and operations.

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.

Lead and continuously improve the companys SOX 404 program: design strategy, risk assessment, scoping, testing, and remediation. Partner with Finance, IT, Legal, and business owners to document controls, manage external audits, drive automation and ERP/GRC integrations, report to executives and Audit Committee, and establish policies, training, and a scalable SOX team.

Lead risk and compliance activities for a high-risk banking environment: prepare for audits and regulatory exams, draft policies and governance, evaluate internal controls, run risk assessments and gap analyses, maintain training, monitor regulatory changes, and produce KRI/KPI Board-level reporting.

Lead compliance oversight for J.P. Morgan Wealth Management broker-dealer by partnering with business, Legal, Risk, and Audit. Conduct reviews, identify control gaps, design metrics, advise on remediation, and manage projects to strengthen the Retail Non-Deposit Investment Products compliance program.

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.

The Fund Controller manages fund accounting accuracy and consistency, collaborates with teams, and oversees compliance and audit partnerships.

Support design, implementation, and operation of Affirm Bank's BSA/AML and compliance technology. Build and test transaction-monitoring rules, case-management workflows, dashboards, and controls; analyze alerts and control performance; maintain documentation; coordinate across Compliance, Product, Engineering, Data, and vendors to ensure audit-ready, scalable compliance systems.

Lead enterprise-wide compliance and financial-crime risk assessments, evaluate controls and residual risk, produce executive reports, partner with MLROs/CCOs globally, drive transaction monitoring and customer risk scoring coverage, update geographic risk ratings, develop threat assessment frameworks, and pioneer AI-powered automation while maintaining human oversight.

The Director of Regulatory & Compliance will lead the Governance, Risk, and Compliance strategy, manage regulatory obligations, and support product compliance in a remote setting.

Execute end-to-end risk-based operational and compliance audits (scoping, testing, reporting, remediation validation). Identify control gaps, perform root cause analysis, draft actionable recommendations, manage audit requests and stakeholders, validate remediation, and partner with Operations, Compliance, Risk, Finance, and Legal while maintaining third-line independence.

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

Oversee and expand the second-line BSA compliance testing program, including annual review scheduling, workpaper and report quality assurance, issue remediation validation, regulatory testing, team guidance, and senior management reporting. The role assesses BSA risk, verifies compliance with policies and Bank Secrecy Act requirements, supports staff development, protects sensitive information, and partners with business lines and management to communicate findings and corrective actions.

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.

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.

Support Private Wealth Management compliance by monitoring surveillances, assessing product and transaction suitability, reviewing marketing materials, advising business partners on regulations and policies, and participating in US and global compliance projects and initiatives.

Support Chief Compliance Officers for multiple mutual fund and ETF trusts. Review and monitor adviser compliance programs and service providers, conduct and report annual due diligence visits, prepare Trust Board reports and certifications, assist with onboarding/offboarding, monitor compliance gaps, support quarterly adviser calls, and complete assigned projects.

Lead US GAAP tax accounting and compliance: prepare and review ASC 740 provisions, manage federal/state/local filings, coordinate audits, improve tax processes, and advise business units on tax matters.

Lead and enhance the Financial Crime Compliance risk assessment program (AML, sanctions, CFT, CPF). Assess and document FCC risks and controls, produce actionable reporting, advise stakeholders, provide guidance and training, identify emerging risks, interact with regulators and auditors, and manage projects to meet deadlines.

Manages consumer payments and deposits risk and compliance frameworks, including control assessments, testing, monitoring, regulatory change implementation, issue remediation, risk reporting, and enterprise risk management support. Advises business lines on consumer banking regulations, operational risk, control design, business resiliency, and process improvements. Leads collaboration between business teams and second-line risk functions and manages a team of associates.