Top Compliance Officer Jobs in Chicago, IL

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.

Support the firm’s compliance program for retail forex operations by monitoring CFTC and NFA requirements, advising business partners, maintaining registrations and licensing, supporting regulatory examinations, reviewing communications, delivering training, supervising AML/KYC due diligence, monitoring suspicious activity, preparing SAR filings, and overseeing customer complaint handling.

Supports the Fair and Responsible Banking program through fair lending and UDAAP testing, comparative file reviews, policy reviews, monitoring analysis, risk assessments, corrective-action guidance, subject matter expertise, and compliance training for business lines and internal teams.

Lead River’s compliance program and team, serving as BSA Officer and owning BSA/AML, OFAC sanctions, regulatory testing, risk assessments, licensing, audits, and regulatory relationships. Drive the OCC national trust charter process, oversee compliance for new products, advise executives and the Board, and build scalable compliance systems for a rapidly growing Bitcoin financial institution.

Join Arootah's advisor network to provide fractional Chief Compliance Officer–level, project-based compliance leadership for hedge funds, private equity firms, and family offices. Advise on SEC/regulatory matters, design and improve compliance programs, conduct reviews and risk assessments, support exams and due diligence, and partner with leadership to strengthen governance and controls.

Manage corporate compliance processes including associate training, registrations, disclosures and attestations; respond to compliance inquiries; monitor and report disclosures; identify and investigate compliance risks; collaborate with Compliance Analytics, Business Process, and IT to improve workflows; support ad-hoc Corporate Compliance projects.

Lead and manage the firms compliance programs including Code of Ethics, AML/KYC review, trade surveillance, marketing review, policy and training development, vendor and technology oversight, regulatory filings, and integration of AI and automation to improve compliance efficiency.