Top Compliance Analyst Jobs in Chicago, IL

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

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.

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 Lead Analyst, Product Compliance ensures compliance in product lifecycle, conducts risk assessments, collaborates with teams, and develops compliance processes for Circle's Payments product.

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.

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.

Review and approve retail advertising and communications for compliance with federal/state insurance rules, FINRA and SEC regulations. Research and draft guidance, respond to regulator inquiries, manage SME review processes, maintain compliance materials, and communicate regulatory impacts to business units.

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

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.

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.

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.

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.

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.

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.