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 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.

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.

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.

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.

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.

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.

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.

Own pricing governance by validating price implementations, monitoring effective dates, reviewing yield reports, investigating pricing exceptions, and identifying margin leakage. Maintain implementation trackers, audit system accuracy, document corrections, communicate status to stakeholders, and develop dashboards and governance metrics. Collaborate with Revenue Management, Sales, IT, Supply Chain, Customer Service, and Finance to resolve issues, improve controls, and reduce recurring pricing errors.

The job description provides limited responsibility details for a Compliance Program Analyst role. The position requires U.S. citizenship or naturalized citizenship, and all work must be performed within the continental United States, Alaska, or Hawaii. The listed annual compensation range is $90,000 to $110,000.

Supports mortgage origination compliance through complaint investigations, regulatory and investor examinations, risk-based monitoring, transactional testing, regulatory research, root cause analysis, reporting, and remediation. Independently manages multiple compliance matters, develops testing methodologies and monitoring materials, communicates findings to regulators and leadership, and recommends improvements to compliance controls and the Compliance Management System.

Reviews insurance products, forms, rates, rules, and filings for regulatory compliance. Monitors legal and regulatory changes, analyzes business impacts, supports regulatory change management, reconciles compliance data, verifies statistical reports, prepares SERFF filings, and advises stakeholders on compliance risks. Requires strong research, analytical, communication, organizational, and problem-solving skills, along with knowledge of property and casualty insurance products.

Build and scale compliance processes for Lemonade’s P&C insurance products across Car, Home, Renters, and Pet lines. Develop policies, provide regulatory guidance to leadership, partner with Insurance Operations and Product, manage compliance projects, and improve processes through AI and automation while handling multiple priorities and deadlines.

Conduct compliance control testing for complex banking regulations, including planning test procedures, researching regulatory requirements, executing transactional and control testing, reviewing workpapers, identifying compliance issues and root causes, documenting findings, and reporting results to management. The role requires independent judgment, collaboration with subject matter experts, support for junior analysts, and strong knowledge of banking laws, auditing techniques, and regulatory guidance.

Conduct regulatory compliance control testing for banking lines of business. Research laws and regulations, plan testing scopes, execute transactional and control reviews, identify compliance weaknesses and root causes, document findings in electronic workpapers, recommend corrective actions, and communicate results through reports and management meetings. Maintain testing records and tracking logs while collaborating with managers, subject matter experts, and business-line stakeholders.

Conducts employee expense report audits, identifies compliance issues and fraud indicators, maintains internal control documentation and process maps, assesses control gaps, and supports internal and external audits. The role applies COSO, HIPAA, CMS, IRS, and internal control best practices while communicating findings and remediation recommendations to finance leadership and operational stakeholders.

Reviews securities and wealth-management compliance work products, including periodic client reviews, Reg BI and DOL rollover attestations, marketing communications, and structured-product or alternative-investment supervision. Identifies deficiencies, cites applicable controls and regulations, drafts audit-trail entries and reviewer dispositions, and evaluates compliance with FINRA, SEC, suitability, and supervisory requirements.

The Compliance Analyst reviews contractual obligations, manages distributions post-closing, liaises with clients and internal teams, and ensures compliance and accuracy in fund distribution processes.

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

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.

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.

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.

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.