Top Compliance Officer Jobs in Chicago, IL

Support Chief Compliance Officers for multiple mutual fund and ETF trusts. Review and monitor adviser compliance programs and service providers, conduct and report annual due diligence visits, prepare Trust Board reports and certifications, assist with onboarding/offboarding, monitor compliance gaps, support quarterly adviser calls, and complete assigned 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.

Provide technical ERISA and retirement-plan compliance guidance, research regulations, review plan amendments, support correction and pre-acceptance reviews, assist compliance testing and filings, and partner with retirement plan, audit, and compliance teams to manage risk and ensure regulatory alignment.

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.