Top Compliance Jobs in Chicago, IL

Leads TransUnion’s global SOX compliance program, overseeing controls testing, scoping, risk assessments, remediation, audit coordination, and continuous improvement. Partners with finance and business leaders to strengthen controls, manage deficiencies, and improve compliance through automation and analytics. The role also leads and develops global teams, coordinates with external auditors, and drives timely program execution across complex organizational processes.

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.

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.

Provides regulatory compliance consulting to financial services clients, including risk assessments, remediation, monitoring, regulatory research, compliance testing, audit documentation, and management reporting. Advises clients on strengthening compliance management systems, identifies regulatory gaps, presents findings to boards and executives, and supports federal consumer compliance requirements. Requires banking compliance experience, lending knowledge, strong analytical and communication skills, and approximately 20% domestic travel.

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.

Develops compliance analytics for AML, sanctions, and consumer compliance programs. Builds data pipelines, dashboards, scorecards, automated reporting, and data quality processes using dbt, GitLab, Python, SQL, Tableau, and Snowflake. Translates regulatory requirements into actionable insights, risk indicators, and metrics while communicating findings to senior management and regulatory stakeholders.

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.

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.

Serves as Chief Compliance Officer for a multiple series trust containing mutual funds and ETFs. Maintains compliance policies, oversees service-provider compliance programs, conducts reviews and site visits, supports trust boards, manages AML responsibilities and regulatory examinations, prepares annual compliance reports, and supervises support staff. Partners with other compliance officers on regulatory changes, client updates, webinars, and departmental projects.

Leads financial crime compliance business analysis for AML modernization initiatives. Partners with compliance, risk, engineering, and IT teams to define requirements, map banking data, translate regulations into monitoring rules, evaluate vendor capabilities, conduct gap analysis, and manage UAT. Develops BRDs, FSDs, test plans, user stories, and acceptance criteria while supporting transaction monitoring, KYC, sanctions screening, investigations, case management, and regulatory reporting programs.

Leads the U.S. consumer compliance program, focusing on Regulation E and UDAAP controls across credit, prepaid, and digital asset products. Responsibilities include compliance reviews, consumer complaint analysis, error-resolution oversight, chargeback compliance, regulatory examinations, audits, remediation plans, policy management, and cross-functional implementation of consumer protection requirements. Provides secondary support for BSA/AML alignment, regulatory submissions, and executive reporting.

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.

Lead Capital One’s Regulatory Consumer Center of Excellence for fair and responsible banking compliance. Oversee programs covering multilingual governance, ECOA, Regulation B, UDAAP/UDAP, SCRA, MLA, credit bureau furnishing, FCRA disputes, and prescreen advertising. Build governance, controls, monitoring, escalation, work plans, and audit-ready frameworks; report results to senior leaders; partner across risk and business teams; and manage compliance subject matter experts. Drive regulatory guidance, process improvements, training, technology, analytics, and automation.

Leads second-line oversight of PayPal’s global payment network and partner compliance programs. Responsibilities include independent challenge, partner due diligence, monitoring, risk identification, issue escalation, remediation, regulatory and network information requests, and executive advisory support. The role partners across Legal, Product, Risk, Sales, Partnerships, and Compliance to improve governance, automate workflows, and ensure adherence to Visa, Mastercard, regulatory, and contractual obligations.

Provides regulatory compliance support for an SEC-registered investment adviser managing alternative strategies. Responsibilities include maintaining compliance policies, monitoring investment guidelines and KYC reviews, supporting international filings, conducting risk assessments, preparing Form ADV and Form PF submissions, assisting investor due diligence, and expanding international regulatory oversight.

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.

Leads insurance compliance and regulatory operations, including complex complaint escalations, Department of Insurance responses, carrier audits, complaint-log controls, regulatory reporting, and audit-ready documentation. Partners with Legal, Product, Engineering, and Operations to resolve systemic issues, implement compliance improvements, support claims investigations, and coach team members. Requires P&C licensing, substantial insurance and state regulatory compliance experience, knowledge of NAIC regulations and state insurance codes, and strong executive communication skills.

Owns and builds SentiLink’s FCRA compliance program for its consumer reporting business. Responsibilities include dispute intake and reinvestigation, permissible-purpose controls, accuracy monitoring, consumer complaints, client diligence, regulatory inquiries, litigation support, and partnering with Engineering and Product to automate compliance workflows.

Supports compliance governance, risk assessment, audit and exam activities, remediation tracking, dashboard governance, reporting, quality assurance, documentation, business continuity, and process improvement. The role partners with cross-functional stakeholders, facilitates governance meetings, communicates risk insights to leadership, and advocates for AI-enabled workflows using Google tools and related technologies.

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.

Review and approve high-volume marketing and investor-facing content for SEC Marketing Rule compliance; conduct vendor due diligence and AI governance oversight; support books-and-records, testing, monitoring, and compliance program documentation; partner with stakeholders on training, disclosures, and remediation; manage compliance-related vendor relationships and projects.

Executes high-volume KYC and third-party diligence operations for LNG and LPG counterparties. Responsibilities include tracking documentation, sanctions screening, CDD and EDD support, rescreening, case intake, reporting, Salesforce data maintenance, and escalation of elevated-risk findings. The role will also expand into compliance control testing, remediation tracking, and coordination with independent testers. Success requires strong organization, attention to detail, communication, and the ability to manage recurring compliance processes.