Top Compliance Jobs in Chicago, IL

Executes high-volume KYC and third-party diligence operations for LNG and LPG counterparties. Responsibilities include tracking documentation, sanctions screening, CDD and EDD support, rescreening, case intake, reporting, Salesforce data maintenance, and escalation of elevated-risk findings. The role will also expand into compliance control testing, remediation tracking, and coordination with independent testers. Success requires strong organization, attention to detail, communication, and the ability to manage recurring compliance processes.

Leads U.S. and Canadian payroll tax compliance, filings, payments, audits, reconciliations, year-end reporting, controls, and regulatory monitoring. Manages a team of six payroll tax professionals while partnering with Payroll Operations, Technology, Product Management, HR, Accounting, vendors, auditors, and government agencies. Drives process improvements, system enhancements, testing, strategic initiatives, and organizational change across complex, multi-jurisdiction payroll operations.

Leads U.S. and Canadian payroll tax compliance, including filings, payments, audits, reconciliations, year-end reporting, regulatory monitoring, and agency relations. Manages and develops a team of six payroll tax professionals, establishes internal controls, drives process improvements, and partners with Payroll Operations, Technology, Product Management, HR, Finance, vendors, auditors, and government agencies on system enhancements and strategic initiatives.

Manages regulatory compliance monitoring and testing for a fintech financial services platform. Designs testing protocols, audits lending disclosures and credit notices, reviews marketing and complaint trends, monitors regulatory changes, conducts compliance audits, and recommends remediation. Partners with legal, compliance, business, and operational teams to identify risks and implement practical controls across U.S. lending products.

Manage and continuously optimize the Compliance Management System, including external assessments, vendor monitoring, compliance training, governance documentation, and reporting. Serve as a risk and compliance subject matter expert for regulated partners, advise cross-functional teams, identify control gaps, and implement scalable process improvements. Use AI and automation to improve compliance efficiency while validating recommendations and ensuring accountability across partnerships.

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.

Leads enterprise compliance programs and regulatory governance frameworks, providing second-line oversight, risk assessments, monitoring, testing, effective challenge, issue remediation, and regulatory change management. Advises senior leaders and partners with business, legal, risk, HR, audit, and regulatory teams. Oversees programs involving Regulation W, conflicts of interest, employee activities, accessibility, and related enterprise requirements while preparing governance reporting and supporting examinations, audits, and regulatory inquiries.

Leads Coinflow’s enterprise compliance governance program across the US, Canada, and EU. Responsibilities include policy and control framework ownership, second-line BSA/AML testing, regulatory change management, sponsor bank coordination, audit and exam readiness, issue remediation, governance reporting, and compliance tooling rollout. The role partners with Risk, Legal, Engineering, Product, Underwriting, AML, and Operations while driving findings and action items to documented closure.

Leads a wealth management investment compliance team, overseeing regulatory compliance, fiduciary obligations, conflicts of interest, risk assessments, policies, procedures, training, and business advisory support. Manages staff performance and development, supports investment committees, implements the Corporate Compliance Program, advises stakeholders on applicable regulations, and escalates compliance risks. Partners with Corporate Compliance and contributes to strategic planning and special projects.

Oversee multi-state and local tax compliance across multiple entities and jurisdictions, including sales and use tax filings, registrations, audits, notices, tax accruals, and risk mitigation. Manage and mentor a Sales Tax Specialist, coordinate income and franchise tax matters with external firms, maintain Avalara and NetSuite integrations, support tax configuration, and improve compliance processes and reporting.

Leads the enterprise compliance policies, procedures, and training program for consumer lending products. Translates federal and state regulations into practical, risk-based business requirements, oversees policy lifecycle management, develops compliance training, supports audits and regulatory examinations, and advises product, operations, risk, legal, and compliance stakeholders. The role also serves as an escalation point for complex consumer lending compliance matters and helps maintain effective documentation, controls, reporting, and training effectiveness.

Advise business teams on consumer credit regulatory compliance, perform policy and procedure gap assessments, track remediation, support regulatory examinations, analyze requested documentation, and help prepare regulatory meeting materials. The role collaborates with Legal, Information Security, Governmental Affairs, and business units to address compliance risks, improve controls, and resolve complex issues involving privacy and consumer protection laws.

Advise Experian’s Financial Services and Data division on regulatory compliance risks related to consumer credit services. Conduct policy gap assessments, develop remediation plans, support regulatory examinations, analyze requested documentation, and coordinate with Legal, Information Security, Governmental Affairs, and business teams. Help improve control effectiveness, resolve compliance issues, and prepare materials for regulatory meetings.

The job description provides limited responsibility details for a Compliance Program Analyst role. The position requires U.S. citizenship or naturalized citizenship, and all work must be performed within the continental United States, Alaska, or Hawaii. The listed annual compensation range is $90,000 to $110,000.

Supports the investment advisory firm's compliance program through regulatory monitoring, code of ethics oversight, filings, policy administration, risk assessments, forensic testing, due diligence, communications review, and examination readiness. The role evaluates compliance risks across products, marketing materials, transactions, and business initiatives; collaborates with legal, finance, operations, technology, and investment teams; and helps improve automated monitoring and reporting workflows.

Supports compliance operations for Robinhood Asset Management’s investment advisory business. Responsibilities include implementing regulatory policies, validating supervision and controls, resolving complaints and client inquiries, identifying risks, building compliance workflows, testing books and records, establishing information barriers, and addressing conflicts of interest. The role collaborates across teams to support compliant product launches and improve customer-facing advisory services.

Leads domestic and international royalty, licensing, participation, and contract compliance audits from planning through settlement. Responsibilities include risk assessment, contract interpretation, financial and operational testing, data analysis, client reporting, recovery quantification, negotiations, quality assurance, and staff supervision. The role manages multiple engagements, collaborates with legal, finance, licensing, and client teams, and uses analytics and visualization tools to identify anomalies and improve compliance programs.

Own sales, lodging, and hotel occupancy tax compliance for short-term rental properties across multiple jurisdictions. Responsibilities include registering and maintaining tax accounts, preparing and filing returns, remitting taxes, reconciling OTA collections, monitoring deadlines and rate changes, resolving discrepancies, responding to tax authorities, and maintaining accurate documentation. The role requires strong knowledge of sales tax nexus, multi-jurisdiction compliance, organization, communication, and proficiency with spreadsheets and filing systems.

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.

Manage complex U.S. and Canadian payroll tax compliance, including audits, agency inquiries, filings, reconciliations, tax adjustments, employee tax configurations, and W-2/W-2c and T4 reporting. Resolve escalated tax matters, oversee registrations and vendor coordination, identify control gaps, and improve payroll tax processes while ensuring regulatory accuracy and timely reporting.

Oversee internal audits, regulatory compliance, internal controls, risk management, governance, and fraud investigations. Plan and execute audits, identify control weaknesses, recommend corrective actions, prepare reports, monitor remediation, support external audits and regulatory inspections, and collaborate with stakeholders to improve operational efficiency and compliance.

Prepares and reviews complex retirement plan compliance tests, government filings, Form 5500 packages, regulatory forms, plan documents, reconciliations, and allocation calculations. Researches and resolves compliance issues, supports audits, mentors team members, and helps improve department processes. The role requires retirement plan administration expertise, advanced mathematics, regulatory knowledge, and an ASPPA Qualified 401(k) Administrator designation.

Prepare and review complex retirement plan compliance tests, year-end packages, government filings, and regulatory forms including Forms 5500, 5330, and 8955-SSA. Reconcile plan assets, calculate contributions and corrective earnings, prepare plan documents, research compliance issues, support audits, and mentor team members. The role requires advanced retirement plan knowledge, accurate regulatory reporting, independent work, and collaboration across departments.

Executes day-to-day residential mortgage compliance operations, including NMLS licensing, regulatory filings, complaint intake, SAR review support, audit preparation, examination logistics, and remediation tracking. Reviews loan files for compliance and suspicious activity, maintains documentation, drafts complaint responses, and collaborates with quality control and fulfillment teams. Supports SOP updates based on regulatory findings and changes.

Reviews insurance products, forms, rates, rules, and filings for regulatory compliance. Monitors legal and regulatory changes, analyzes business impacts, supports regulatory change management, reconciles compliance data, verifies statistical reports, prepares SERFF filings, and advises stakeholders on compliance risks. Requires strong research, analytical, communication, organizational, and problem-solving skills, along with knowledge of property and casualty insurance products.