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.

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.

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.

Reviews marketing and customer-facing materials for regulatory compliance, performs monitoring and control testing, handles KYB/KYC and transaction-monitoring escalations, supports enhanced due diligence, maintains compliance records, assists with audits and examinations, partners with internal teams, and tracks employee compliance training.

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.

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.

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.

Monitors U.S. and Canadian payroll compliance, regulations, tax filings, audits, controls, and employee pay accuracy. Investigates exceptions, manages corrective actions, supports SOX and regulatory audits, and coordinates payroll compliance for acquisitions and new entities. Maintains procedures, governance documentation, dashboards, and reporting while partnering with Legal, Finance, HR, vendors, and leadership to improve controls, reduce risk, and support payroll technology and transformation initiatives.

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.

Supports risk and control consultations, identifies operational and strategic risks, monitors key risk indicators, and helps implement mitigating controls. Assists with audit requests, control testing, corrective action plans, governance enhancements, issue escalation, and regulatory compliance monitoring. The role requires a bachelor’s degree or equivalent experience and typically three or more years of experience; merchant acquiring, ATM, or card network experience is preferred.

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.

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.

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 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.