E-3 Visa Chief Compliance Officer Jobs
Chief Compliance Officer roles qualify for E-3 visa sponsorship as specialty occupations requiring a bachelor's degree or higher in law, finance, or a related field. Australian nationals can secure two-year E-3 status with no lottery, renewable indefinitely, making CCO positions one of the more stable paths to long-term U.S. employment.
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Connecting clients to markets – and talent to opportunity. With 5,400+ employees and over 80,000 institutional, commercial, and payment clients, we operate from more than 80 offices spread across six continents. As a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors. Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional investing, StoneX Group is made up of four business segments that offer endless potential for progression and growth.
Institutional: Immerse yourself in the best-in-class institutional-grade technology, working alongside industry experts and gaining exposure to various asset classes, such as equities, options, fixed income securities, and advanced trading, research, and management technology.
Responsibilities
The Deputy Chief Compliance Officer reports directly to the Chief Compliance Officer and supports the retail business lines of StoneX Wealth Management. This role is responsible for assisting in the design, implementation, and oversight of compliance programs across both broker-dealer and investment advisory operations. The ideal candidate will possess strong communication and writing skills, advanced analytical capabilities, and significant experience using Microsoft Excel for data management and regulatory reporting. The role requires the ability to manage multiple priorities in a fast-paced, highly regulated environment.
- Provide guidance to employees on compliance with the Code of Ethics (COE), Written Supervisory Procedures (WSPs), and applicable regulatory requirements
- Assist the CCO in coordinating and executing annual compliance reviews, including FINRA Rule 3120 and Advisers Act Rule 206(4)-7 reviews
- Perform recurring compliance monitoring and reporting functions, including review of surveillance reports, exception reporting, and supervisory controls
- Review supervisory activities related to advisory programs to ensure adherence to internal policies and regulatory standards
- Assist in drafting, reviewing, and maintaining regulatory disclosures, including Form CRS and Form ADV (Part 2 and Part 3)
- Prepare and file regulatory submissions for RIA entities and affiliated firms, including Forms ADV (1A), ADV-E, 13F, NP-X, 13H, and other required filings
- Review and approve marketing materials and internal communications for regulatory compliance, as needed
- Conduct regulatory research and assist in preparing responses to regulatory inquiries, audits, and examinations
- Assess and evaluate daily operations and implement automation where appropriate to streamline operating functions. Collaborate with cross functional compliance, AML and supervision teams to support daily initiatives
- Supervise staff that supports both investment advisory and broker dealer compliance initiatives
- Perform additional duties as required to support the compliance function and broader business needs
Qualifications
- Bachelor’s degree or equivalent industry experience required
- FINRA Series 7 and Series 24, Series 65 or 66 required
- Minimum of 5 years of compliance or related financial services experience preferred
- Strong knowledge of broker-dealer and investment adviser operations, including:
- Trading and custody processes
- Account onboarding and maintenance
- Billing and performance reporting systems
- Working knowledge of the Investment Advisers Act of 1940 and related rules
- Ability to interpret and apply regulatory requirements to business practices and assist in developing compliant policies and procedures
- Strong analytical, problem-solving, and organizational skills
- Excellent written and verbal communication skills
- Advanced proficiency in Microsoft Excel (Access or other data tools a plus)
- Demonstrated ability to manage multiple priorities and meet deadlines
- Proven ability to build effective working relationships across business lines
- Leadership skills with the ability to delegate, guide, and mentor others in a professional and ethical manner
Hiring Salary Range
$120,000 - $170,000 (Salary to be determined by the education, experience, knowledge, skills and abilities of the applicant, internal equity and alignment with market data.) Subject to business performance and recommendations of management, this role may be eligible to participate in an incentive compensation plan. This compensation package, in addition to a full range of medical, financial, and/or other benefits, dependent on the position, is offered.
Overview
Connecting clients to markets – and talent to opportunity. With 5,400+ employees and over 80,000 institutional, commercial, and payment clients, we operate from more than 80 offices spread across six continents. As a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors. Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional investing, StoneX Group is made up of four business segments that offer endless potential for progression and growth.
Institutional: Immerse yourself in the best-in-class institutional-grade technology, working alongside industry experts and gaining exposure to various asset classes, such as equities, options, fixed income securities, and advanced trading, research, and management technology.
Responsibilities
The Deputy Chief Compliance Officer reports directly to the Chief Compliance Officer and supports the retail business lines of StoneX Wealth Management. This role is responsible for assisting in the design, implementation, and oversight of compliance programs across both broker-dealer and investment advisory operations. The ideal candidate will possess strong communication and writing skills, advanced analytical capabilities, and significant experience using Microsoft Excel for data management and regulatory reporting. The role requires the ability to manage multiple priorities in a fast-paced, highly regulated environment.
- Provide guidance to employees on compliance with the Code of Ethics (COE), Written Supervisory Procedures (WSPs), and applicable regulatory requirements
- Assist the CCO in coordinating and executing annual compliance reviews, including FINRA Rule 3120 and Advisers Act Rule 206(4)-7 reviews
- Perform recurring compliance monitoring and reporting functions, including review of surveillance reports, exception reporting, and supervisory controls
- Review supervisory activities related to advisory programs to ensure adherence to internal policies and regulatory standards
- Assist in drafting, reviewing, and maintaining regulatory disclosures, including Form CRS and Form ADV (Part 2 and Part 3)
- Prepare and file regulatory submissions for RIA entities and affiliated firms, including Forms ADV (1A), ADV-E, 13F, NP-X, 13H, and other required filings
- Review and approve marketing materials and internal communications for regulatory compliance, as needed
- Conduct regulatory research and assist in preparing responses to regulatory inquiries, audits, and examinations
- Assess and evaluate daily operations and implement automation where appropriate to streamline operating functions. Collaborate with cross functional compliance, AML and supervision teams to support daily initiatives
- Supervise staff that supports both investment advisory and broker dealer compliance initiatives
- Perform additional duties as required to support the compliance function and broader business needs
Qualifications
- Bachelor’s degree or equivalent industry experience required
- FINRA Series 7 and Series 24, Series 65 or 66 required
- Minimum of 5 years of compliance or related financial services experience preferred
- Strong knowledge of broker-dealer and investment adviser operations, including:
- Trading and custody processes
- Account onboarding and maintenance
- Billing and performance reporting systems
- Working knowledge of the Investment Advisers Act of 1940 and related rules
- Ability to interpret and apply regulatory requirements to business practices and assist in developing compliant policies and procedures
- Strong analytical, problem-solving, and organizational skills
- Excellent written and verbal communication skills
- Advanced proficiency in Microsoft Excel (Access or other data tools a plus)
- Demonstrated ability to manage multiple priorities and meet deadlines
- Proven ability to build effective working relationships across business lines
- Leadership skills with the ability to delegate, guide, and mentor others in a professional and ethical manner
Hiring Salary Range
$120,000 - $170,000 (Salary to be determined by the education, experience, knowledge, skills and abilities of the applicant, internal equity and alignment with market data.) Subject to business performance and recommendations of management, this role may be eligible to participate in an incentive compensation plan. This compensation package, in addition to a full range of medical, financial, and/or other benefits, dependent on the position, is offered.
See all E-3 Visa Chief Compliance Officer Jobs
Sign up for free to unlock all listings, filter by visa type, and get alerts for new E-3 Visa Chief Compliance Officer Jobs.
Get Access To All JobsTips for Finding E-3 Visa Sponsorship in Chief Compliance Officer
Align your credentials to U.S. specialty occupation standards
Your Australian bachelor's degree in law, finance, or business qualifies under E-3 visa rules, but your supporting documents should tie your specific compliance credentials directly to the CCO role's degree requirement, not just general business experience.
Target regulated industries with active LCA filing history
Financial services, healthcare, and publicly traded companies file LCAs most frequently for compliance leadership roles. Focusing your search on industries with ongoing DOL filing activity reduces the time between offer and sponsorship approval.
Clarify sponsorship scope before accepting an offer
Ask explicitly whether the employer will cover LCA filing and consular fees, and confirm they've sponsored E-3 holders before. CCO hiring timelines can slip if legal or HR teams confuse E-3 requirements with H-1B visa procedures.
Use Migrate Mate's E-3 filing service for the LCA and paperwork
The LCA must be certified by DOL before your visa interview, and CCO-level roles often attract additional scrutiny on prevailing wage classification. Migrate Mate's E-3 filing service manages the entire process from offer to consulate appointment.
Prepare a compliance-specific specialty occupation brief
Consular officers sometimes question whether a CCO role genuinely requires a specific degree rather than general experience. A one-page brief linking your regulatory responsibilities, such as FCPA, SOX, or AML oversight, to your degree field strengthens your application.
Time your E-3 interview around your employer's regulatory calendar
CCO roles often have hard start dates tied to regulatory deadlines or audit cycles. Request consular appointments as soon as the LCA is certified, since Australian consulate wait times vary and a delayed start can create problems for both you and the employer.
E-3 Visa Chief Compliance Officer: Frequently Asked Questions
How do I find Chief Compliance Officer jobs with E-3 visa sponsorship?
Migrate Mate is the most direct way to search CCO roles where employers are open to E-3 sponsorship. Because CCO positions require niche regulatory expertise, many employers overlook the E-3 as an option. Filtering specifically for E-3-eligible roles on Migrate Mate surfaces opportunities that generic job searches won't show you.
How much does it cost to get an E-3 visa?
Migrate Mate's E-3 filing service covers the entire process for $499, including the Labor Condition Application, visa document preparation, and consulate appointment guidance. Traditional immigration lawyers charge $2,000–$5,000+ for the same work. The E-3 has less paperwork than most work visas, so paying thousands for legal help is usually unnecessary.
Does a Chief Compliance Officer role qualify as a specialty occupation for the E-3?
Yes. A CCO role qualifies as a specialty occupation under E-3 rules when the position normally requires a bachelor's degree or higher in a specific field such as law, finance, accounting, or business administration. Roles overseeing regulatory frameworks like SOX, FCPA, or AML compliance consistently meet this threshold, though the LCA filing must document the specific degree requirement clearly.
How does the E-3 visa compare to the H-1B for Chief Compliance Officer positions?
The E-3 is significantly more practical for CCO roles. There's no lottery, no annual cap backlog to navigate, and no uncertainty about whether sponsorship will result in status. An employer can file an E-3 LCA with the DOL and have you interviewed and approved within weeks of an offer, whereas H-1B requires lottery selection and can take over a year from registration to start date.
Can I switch employers or take on additional compliance responsibilities while on an E-3?
You can change employers on E-3, but each new employer must file a new LCA with the DOL and obtain certification before you begin work. Taking on substantially different compliance responsibilities, such as moving from a single-entity CCO role to a group-level function, may require a new LCA if the job duties or wage level change materially.