Top Compliance Jobs in Chicago, IL

The Director of Regulatory & Compliance will lead the Governance, Risk, and Compliance strategy, manage regulatory obligations, and support product compliance in a remote setting.

Execute compliance audit engagements: plan audits, assess business processes and controls, perform/supervise control testing, document findings, draft issues and recommendations, and assist with reporting and wrap-up while partnering with business stakeholders to strengthen risk management.

Support Private Wealth Management compliance by monitoring surveillances, assessing product and transaction suitability, reviewing marketing materials, advising business partners on regulations and policies, and participating in US and global compliance projects and initiatives.

Lead and operate the banks compliance program: manage OCC examinations, maintain compliance management system, own policy and testing calendars, oversee consumer and lending compliance, support product launches, coordinate with BSA/AML, and produce examination-ready reporting and Board materials in a lean, technology-enabled environment.

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.

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.

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.

As a Crypto Compliance Lead, you will guide product teams on regulatory requirements and support compliance reviews for crypto products. Responsibilities include advising during the product lifecycle, reviewing features and communications, and conducting regulatory examinations.

Lead and enhance the Financial Crime Compliance risk assessment program (AML, sanctions, CFT, CPF). Assess and document FCC risks and controls, produce actionable reporting, advise stakeholders, provide guidance and training, identify emerging risks, interact with regulators and auditors, and manage projects to meet deadlines.

The Senior Manager oversees global tax planning, guides team members, leads audits, communicates with business partners, and maintains tax law knowledge.

The Financial Operations Associate manages investment product operations, ensuring accuracy in cash and security transfers while maintaining compliance and documentation.

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.

Lead a Consumer compliance advisory function, providing regulatory subject-matter expertise (TILA, RESPA, FCRA, FDCPA, etc.), managing advisors and the Privacy Office, partnering with business leadership to identify, prioritize, and mitigate compliance risks, and advising on new products and regulatory developments.

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.

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.

The Compliance Officer ensures adherence to regulatory standards through inspections, training, policy updates, and investigations, requiring strong analytical skills and clear communication.

Lead and execute the global compliance strategy for Wealth Management, ensuring regulatory adherence, conduct and financial-crime controls, policy and monitoring effectiveness, regulatory engagement, and integration with enterprise risk. Advise business and product teams on new initiatives, oversee exams/remediations and regulatory reporting, drive regulatory change management and training, and build a high-performing global compliance team with strong succession planning.

Review global asset management marketing materials for compliance with SEC and FINRA rules; advise business partners; lead and develop the Marketing Compliance team; monitor procedures, identify and document compliance risks; respond to regulatory inquiries; develop reports; deliver training; coordinate compliance initiatives and support project work with management.

The Compliance and Operational Risk Senior Advisor oversees compliance and operational risk management, advises business units, develops training, and communicates risk strategies to senior leadership.

Lead and execute compliance for a CFTC-regulated exchange and clearinghouse. Own trade surveillance, manage Eventus/Validus configuration, handle CFTC inquiries, maintain policies and reporting, liaise with Engineering and Operations, mentor compliance staff, and support regulatory filings and examinations.

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.

Lead strategy, standards, and governance for SOX/ICFR business process controls across the company. Oversee control design, monitoring, remediation, audit support, and transformation efforts (automation, GRC tools, data monitoring). Manage a team and partner with Finance, Technology, and Operations to strengthen the control environment and report status to senior leadership.

The Senior Compliance Auditor plans and executes compliance audits, assesses risks, prepares detailed reports, and collaborates with various departments to ensure adherence to compliance policies and legal requirements.