Top Compliance Manager Jobs in Chicago, IL

Lead design and operation of Apex Asset Managements Advisers Act compliance program. Own regulatory filings and SEC/state exams, oversee marketing and solicitation compliance, portfolio/trading controls, vendor due diligence, and training. Partner with Legal, Operations, Product, and enterprise compliance to implement monitoring, testing, and reporting for sub-advisory, co-advisory, and solicitor/promoter arrangements.

The SBA Portfolio Manager manages the SBA loan portfolio, ensuring compliance, evaluating servicing requests, and maintaining relationships with bankers. Responsibilities include risk management, documentation, and assisting with audits.

Design, implement, and administer the firm's enhanced-risk monitoring and supervision framework for clients, employees, advisors, and business practices. Develop risk-scoring and high-risk criteria, oversee enhanced due diligence, manage heightened supervision plans, perform risk assessments, produce dashboards and reports, and support regulatory readiness and audit documentation.

Lead and manage multi-state money transmitter licensing, regulatory reporting, and examination support across the U.S.; coordinate regulator communications, filing calendars, and licensing strategy; support product and geographic expansion; oversee remediation, external counsel, and mentor licensing staff.

Lead and manage multi-state money transmitter licensing, regulatory reporting, and exam coordination. Own filings, regulator communications, licensing inventories, change-of-control matters, and licensing support for product and geographic expansion. Monitor regulatory developments, coordinate external counsel, and manage/mentor licensing personnel.

Owner of fraud, collections, and back-office compliance for Mission Lane's credit card business. Serve as embedded compliance authority, manage escalations, run testing and monitoring of controls, identify gaps, provide regulatory guidance, partner with business and Legal, and support program strategy and exam readiness.

Manage the compliance risk program for mortgage lending by developing policies, ensuring adherence to laws, and conducting risk assessments.

The Treasury & Compliance Manager ensures accurate execution of capital movements and regulatory compliance across funds, overseeing cash operations, regulatory filings, and risk management processes.

Lead and improve payroll operations and controls, manage the Payroll team, ensure global payroll compliance and accurate reporting, support CFO on finance and accounting projects, drive process improvements and system initiatives (including ERP/payroll systems), prepare for audits, and mentor staff to maintain continuity and scalability across finance functions.

Lead design and implementation of a financial compliance program (COSO/AICPA), perform risk assessments, document processes and controls, execute periodic testing and remediation, manage deficiency tracking, coordinate with external auditors, and report control status to the CFO and executive leadership.

Lead regulatory compliance activities within second-line Credit Risk, review controls and policies, manage regulatory issues and remediation, engage stakeholders, monitor regulatory changes, and translate requirements into control and process improvements to ensure adherence to US regulatory compliance framework.

Manage day-to-day execution of SOX program including controls and testing, lead a global team, optimize processes, and collaborate with auditors.

Lead government accounting operations, ensuring compliance with regulations, managing a remote team of accountants, and optimizing processes for operational efficiency.