Top Compliance Jobs in Chicago, IL

Lead and manage internal audit engagements: plan and execute audits, supervise and review staff work, identify risks and control gaps, draft reports, monitor engagement schedules, coordinate with IT/AML/Compliance teams, and ensure adherence to audit standards and regulations.

Lead development and operationalization of compliance framework for a new investment advisory offering. Own testing, surveillance, audits, risk assessments, regulatory responses, and policy implementation. Partner cross-functionally to build workflows, books-and-records controls, information barriers, and conflict-of-interest safeguards while promoting a fiduciary, client-first compliance culture pre-launch and post-launch.

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.

Support public sector finance and compliance engagements by collecting and reviewing financial documentation, performing basic compliance testing, preparing workpapers, assisting with financial modeling and analyses, and contributing to AML system data workstreams. Collaborate with teams, attend client meetings, and help with engagement execution under senior guidance while developing accounting and regulatory knowledge.

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.

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.

Lead second-line oversight for payment network and partner compliance globally. Provide independent challenge to first-line teams on network rules, due diligence, monitoring, issue escalation, and remediation. Advise senior leadership, manage cross-functional responses to partner and regulatory requests, drive process automation and AI-enhanced workflows, and scale compliance programs across jurisdictions while maintaining strong stakeholder relationships.

Lead and supervise regulatory compliance and internal audit engagements for financial services, focusing on AML, consumer protection, model and enterprise risk programs. Manage client relationships, develop findings and proposals, supervise staff, perform quality control, and support practice development and business development activities. Travel ~2020-30% regionally.

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.

Design, implement, and optimize AI-powered solutions to support financial compliance and controls. Monitor GAAP/IFRS adherence, automate controls and reporting, support internal/external audits, and manage complex accounting areas like revenue recognition and lease accounting while collaborating with finance, audit, and technology teams.

As a Crypto Compliance AML Analyst, you will monitor and investigate AML and fraud across crypto transactions, ensuring regulatory compliance while improving systems and processes.

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 Rayda’s compliance and risk framework across internal operations and third-party vendors. Responsibilities include vendor due diligence, KYB, risk and compliance registers, control monitoring, remediation, information security and privacy compliance, customer audits, security questionnaires, cross-functional control implementation, executive reporting, and process automation.

The Senior Federal Compliance Specialist ensures accurate cost identification and reporting for federally funded contracts, audits expenses, provides pricing compliance, and manages cost calculations and submissions.

The Senior Wealth Advisor manages client relationships, delivers wealth management services, and supports growth through referrals and marketing, all in a remote, independent capacity.

Oversee mortgage compliance program: manage licensing and exam readiness, handle complaints and SAR reviews, support audits, track corrective actions, and advise staff on regulatory matters while partnering with operations and QC/QA.

Supports OnePay’s second-line compliance control environment through control framework maintenance, risk assessments, risk-based monitoring, data quality reviews, process improvements, and product compliance oversight. Partners with cross-functional teams on regulatory, operational, and third-party changes; provides advisory challenge; evaluates control impacts; and prepares leadership and governance reporting. The role also applies analytics, automation, and AI-enabled tools to improve monitoring efficiency and coverage.

Own international tax and regulatory compliance across US, Cayman Islands, Costa Rica, UK, and Australian entities. Manage PFIC reporting, intercompany loans, transfer pricing documentation, crypto treasury reconciliations, statutory filings, audits, payroll, and accounts payable oversight. Coordinate external tax advisors, accounting firms, and outsourced finance providers while building scalable controls and proactively mitigating multi-jurisdiction compliance risks.

Leads investment and trading compliance for ETFs by translating prospectus and SAI investment restrictions into Bloomberg AIM rules, monitoring pre- and post-trade exceptions, identifying violations, and collaborating with trading, investment management, and compliance teams. The role also supports compliance with the Investment Company Act, Internal Revenue Code, SEC regulations, and enhancements to trade monitoring systems and processes.

Conducts complex financial crime investigations involving money laundering, terrorist financing, PEPs, bribery, corruption, sanctions breaches, tax evasion, and other suspicious activity. Analyzes transactions, client relationships, alerts, and risk profiles; performs research and data analytics; responds to regulatory requests; monitors emerging typologies; and supports improvements to compliance processes, systems, training, and governance.

Lead and scale the Sarbanes-Oxley (SOX 404) program, maintain the ICFR framework, manage control design/testing/remediation, oversee ITGC scoping, integrate controls for acquisitions, liaise with external auditors and the Audit Committee, and build and mentor a SOX compliance team.

Lead restricted donation tracking and reporting, design and maintain a global internal controls framework, oversee financial compliance and tax filings (Brazil and U.S.), partner with Fundraising and regional teams to embed controls, support investment strategy, perform financial analyses, and communicate financial information across functions and geographies.

Own partnership tax compliance for a portfolio of private funds: prepare and review Form 1065, Schedule K-1s, complex allocations, book-to-tax adjustments, capital account maintenance, manage filing calendars and K-1 delivery, research partnership tax issues, coordinate with accounting/auditors, and mentor associates.

Provide fractional compliance advisory to alternative investment firms and family offices: develop and implement compliance programs, Form ADV filings, policies, controls, training, regulatory exam readiness, risk assessments, remediation, and ad-hoc projects.

Lead mortgage origination compliance by interpreting federal and state regulations, implementing policy and systems controls, performing loan testing and marketing reviews, managing staff, training employees, and coordinating with Legal and business units to remediate compliance issues.