Top Compliance Jobs in Chicago, IL

Ensure 401(k) plan launches comply with product capabilities and regulations by auditing benefit analyses, plan documents, and system setups. Research conversion plan documents, identify and mitigate compliance risks, respond to high volumes of compliance inquiries, and collaborate with Sales Activation and onboarding teams to verify accuracy prior to plan launch.

Support core accounting operations including AP/AR, general ledger maintenance, bank reconciliations, month- and year-end close, tax compliance (1099s, chapter returns, UBIT), audit support, budgeting, cost allocation, and serve as backup to senior accounting staff and managers.

Prepare, review, and submit regulatory compliance filings to the FCC, PUCs, and state agencies for telecom clients. Coordinate with clients, analyze financial and operational data, maintain regulatory knowledge, and ensure timely, accurate reporting to support compliance.

Support clients' 401(k) plans by performing compliance testing (ADP/ACP, Deductibility, Top Heavy, 401(a)(4), 402(g), 410(b), 415), preparing IRS filings (Forms 5500, 5330, 8955-SSA), drafting plan documents and amendments, reviewing QDROs, calculating contributions, consulting on plan design, assisting auditors and Relationship Managers, and maintaining ERISA/IRS regulatory knowledge.

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.

The Compliance Analyst reviews contractual obligations, manages distributions post-closing, liaises with clients and internal teams, and ensures compliance and accuracy in fund distribution processes.

Lead the credit union's lending compliance program, manage a team, design and execute risk-based compliance controls, oversee testing, fair lending, HMDA, and regulatory change management, support audits/exams, provide training, and partner with stakeholders to mitigate lending compliance risks.

Investigate surveillance alerts and analyze market/trading data to identify market abuse and compliance risks. Improve surveillance controls and automation, support regulatory implementation, advise stakeholders, and collaborate across Compliance, Trading, Technology, Risk, and Operations.

Lead end-to-end compliance due diligence and control reviews for prospective payments clients. Assess complex business models, payment flows, and regulatory requirements; recommend onboarding decisions; advise on AML/BSA, sanctions, CIP/CDD/EDD; partner with banks, payment networks, and internal stakeholders; improve onboarding policies, SOPs, and governance; mentor junior compliance staff and monitor regulatory and card network developments.

Perform customer due diligence and regulatory verification for client onboarding. Review onboarding packages, perform identity and sanctions screening, validate ownership and licenses, complete Payment Network checks, maintain client files, document exceptions, support Senior Compliance Managers, and improve SOPs to ensure compliant onboarding.

Support and enhance enterprise compliance programs by monitoring escalations, researching regulations, performing control testing and data analysis, preparing management and regulatory reporting, managing investigations and regulatory responses, and collaborating with multiple lines of business to implement improvements.

Lead and scale Step’s compliance program across banking, lending, and payments regulations. Build policies, manage exams, audits, monitoring, and issue tracking. Partner cross-functionally and with sponsor banks to ensure compliant product development, translate regulatory change into action, and serve as primary regulator and auditor contact to support rapid growth.

Review and approve retail advertising and communications for compliance with federal/state insurance rules, FINRA and SEC regulations. Research and draft guidance, respond to regulator inquiries, manage SME review processes, maintain compliance materials, and communicate regulatory impacts to business units.

Lead and manage complex financial investigations, forensic accounting, and regulatory compliance engagements. Oversee case teams, conduct investigative interviews and internal control testing, write client-facing reports, manage client relationships, and drive business development while ensuring high standards of case delivery and team development.

Lead and manage the enterprise SOX control framework: scope, risk assessment, control design, documentation, testing, deficiency remediation, and auditor liaison. Partner cross-functionally to embed controls in transformations and drive automation and efficiency across the program.

Coordinate and support investment-adviser and ERISA compliance programs, perform SEC filings (13H/13F), review GIPS and sales literature, assist Advisory Solutions compliance operations, document SOPs, drive process improvements, and use data analytics and AI tools to identify compliance risks and support reporting and control testing.

Lead ONFR governance and compliance programs, manage enterprise compliance activities, QA committee reporting, records/access and attestations, and act as BCP coordinator. Drive strategic initiatives from business case through execution, provide regulatory and risk subject-matter expertise, lead change management, stakeholder communications, benchmarking, and data-driven decision making to ensure alignment with enterprise goals and regulatory requirements.

Ensure Tilt's products, processes, and customer interactions comply with regulations. Manage complaints, perform UDAAP risk mapping and state regulatory research, test AI chatbot workflows, support audits, and drive process improvements through automation and data analysis.

Review and approve high-volume marketing and investor-facing content for SEC Marketing Rule compliance; conduct vendor due diligence and AI governance oversight; support books-and-records, testing, monitoring, and compliance program documentation; partner with stakeholders on training, disclosures, and remediation; manage compliance-related vendor relationships and projects.

Lead and execute compliance testing for BSA/AML/OFAC and consumer regulations, evaluate controls, document findings, and support remediation. Support and monitor the third-party risk management program, conduct vendor risk assessments and onboarding checks, produce leadership reports and dashboards, and help configure the GRC platform. Serve as SCRA and OFAC subject matter expert and track regulatory changes.

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.

Manage a portfolio of self-employed clients: prepare, review, sign, and file federal and state tax returns (1040, 1120-S); mentor and train junior tax staff; research and interpret tax laws; produce technical memos and compliance reports; collaborate cross-functionally and maintain knowledge of multi-state tax matters.

Serve as the payroll compliance subject-matter expert for assigned jurisdictions. Interpret payroll, tax, social security, labour, and employment legislation; translate requirements into product and operational solutions; advise stakeholders; conduct compliance assessments and audits; build scalable compliance frameworks, rules libraries, and automation; and train and mentor cross-functional teams to ensure compliant payroll products at scale.

Lead government accounting operations, ensuring compliance with regulations, managing a remote team of accountants, and optimizing processes for operational efficiency.

Senior leader responsible for global tax reporting, ASC 740 accounting, compliance governance, and tax operating model transformation. Partners with Finance, Legal, Treasury and auditors to ensure accurate tax provision reporting, SOX controls, automation and AI adoption, and scalable processes across jurisdictions while leading a global tax team.