E-3 Visa Compliance Jobs
Compliance roles in the U.S. qualify as E-3 specialty occupations when they require a relevant bachelor's degree, making Australian compliance professionals strong candidates for E-3 visa sponsorship. The E-3 has no lottery and no annual cap, so you can start the process as soon as you have a job offer.
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Get Access To All JobsINTRODUCTION
Over the last 20 years, Ares’ success has been driven by our people and our culture. Today, our team is guided by our core values – Collaborative, Responsible, Entrepreneurial, Self-Aware, Trustworthy – and our purpose to be a catalyst for shared prosperity and a better future. Through our recruitment, career development and employee-focused programming, we are committed to fostering a welcoming and inclusive work environment where high-performance talent of diverse backgrounds, experiences, and perspectives can build careers within this exciting and growing industry.
Job Description
The Ares Legal and Compliance Department oversees and manages Ares’ global Legal, Regulatory and Compliance functions and programs. Under the leadership of the Global Chief Compliance Officer, the Compliance and Regulatory functions are comprised of teams that operate collaboratively with a global focus, including Regulatory, which oversees all global regulatory matters including the Advisers Act, Investment Company Act and FINRA; European and Asia Pacific Compliance, which oversees region-specific compliance and regulatory matters; Investment Adviser Compliance (including Code of Ethics), which administers global policies and central compliance and oversight functions; and Financial Crime Prevention, which oversees Ares’ adherence to financial crimes-related rules and regulations.
Ares is seeking a Compliance Associate Vice President to support the firm’s enterprise-wide conflicts management program, including oversight of executive officers and other designated access persons, with a focus on identifying and managing potential conflicts of interest related to personal investment activities and outside business activities. This role sits within the Compliance Department and serves as a key liaison between senior management, investment teams, Legal, and the Conflicts Review Group. The Associate Vice President will help ensure that proposed transactions align with the Ares Code of Ethics, regulatory obligations, and internal governance standards.
This position offers exposure to firm-wide investment activity and governance matters and is ideal for candidates with strong analytical skills, regulatory awareness, and a collaborative mindset.
Responsibilities
- Conduct conflict checks on proposed transactions involving executive officers and other designated access persons, assessing alignment with internal policies
- Identify and analyze conflicts arising from employee personal trading, private investments, and outside business activities
- Review personal disclosures, pre-clearance requests, and certifications for consistency with firm policies and regulatory standards
- Coordinate with investment professionals to gather deal information and clarify potential areas of concern
- Collaborate with Fund Legal teams to ensure fund document requirements are being properly addressed and that there is a consistent application of conflict protocols
- Advise business personnel on the application of the Ares Code of Ethics, conflicts policies, and related governance requirements
- Coordinate with Legal and Compliance teams and business stakeholders regarding information barriers, restricted list matters, and other conflict mitigation measures, as appropriate
- Track and manage the pipeline of private investment opportunity requests requiring compliance review
- Prepare and present conflict assessments to senior management for review and clearance
- Maintain detailed records of conflict reviews, decisions, and ongoing monitoring requirements
- Support conflict management efforts by identifying potential reputational, legal, or regulatory risks and recommending mitigation strategies
- Contribute to the development and refinement of risk management frameworks related to conflicts oversight and personal investment activities
- Assist with regulatory examinations, internal audits, and periodic reviews relating to conflicts management and the Code of Ethics
- Support the development, implementation, and enhancement of policies and procedures governing conflicts management and personal investment activities
REPORTING TO: Managing Director, Head of Conflicts Management and Trade Surveillance Compliance
Education
- Bachelor’s degree required; JD or advanced degree preferred
QUALIFICATIONS
- 8-12 + years of experience in compliance, legal, or regulatory roles within asset management, private equity, or investment management
- Strong understanding of the Investment Advisers Act of 1940, including Rule 204A-1 (Code of Ethics), and familiarity with the Investment Company Act of 1940 and related SEC guidance
- Experience advising on conflicts of interest, personal trading, private investment and outside business activity reviews
- Familiarity with investment committee processes and governance frameworks
- High attention to detail and ability to manage multiple concurrent reviews
- Excellent communication and interpersonal skills across teams and seniority levels
- Ability to work independently and prioritize in a fast-paced environment
REPORTING RELATIONSHIPS
Managing Director, Head of Conflicts Management and Trade Surveillance Compliance
COMPENSATION
The anticipated base salary range for this position is listed below. Total compensation may also include a discretionary performance-based bonus. Note, the range takes into account a broad spectrum of qualifications, including, but not limited to, years of relevant work experience, education, and other relevant qualifications specific to the role.
- $145,000-$195,000
The firm also offers robust Benefits offerings. Ares U.S. Core Benefits include Comprehensive Medical/Rx, Dental and Vision plans; 401(k) program with company match; Flexible Savings Accounts (FSA); Healthcare Savings Accounts (HSA) with company contribution; Basic and Voluntary Life Insurance; Long-Term Disability (LTD) and Short-Term Disability (STD) insurance; Employee Assistance Program (EAP), and Commuter Benefits plan for parking and transit.
Ares offers a number of additional benefits including access to a world-class medical advisory team, a mental health app that includes coaching, therapy and psychiatry, a mindfulness and wellbeing app, financial wellness benefit that includes access to a financial advisor, new parent leave, reproductive and adoption assistance, emergency backup care, matching gift program, education sponsorship program, and much more.
There is no set deadline to apply for this job opportunity. Applications will be accepted on an ongoing basis until the search is no longer active.
INTRODUCTION
Over the last 20 years, Ares’ success has been driven by our people and our culture. Today, our team is guided by our core values – Collaborative, Responsible, Entrepreneurial, Self-Aware, Trustworthy – and our purpose to be a catalyst for shared prosperity and a better future. Through our recruitment, career development and employee-focused programming, we are committed to fostering a welcoming and inclusive work environment where high-performance talent of diverse backgrounds, experiences, and perspectives can build careers within this exciting and growing industry.
Job Description
The Ares Legal and Compliance Department oversees and manages Ares’ global Legal, Regulatory and Compliance functions and programs. Under the leadership of the Global Chief Compliance Officer, the Compliance and Regulatory functions are comprised of teams that operate collaboratively with a global focus, including Regulatory, which oversees all global regulatory matters including the Advisers Act, Investment Company Act and FINRA; European and Asia Pacific Compliance, which oversees region-specific compliance and regulatory matters; Investment Adviser Compliance (including Code of Ethics), which administers global policies and central compliance and oversight functions; and Financial Crime Prevention, which oversees Ares’ adherence to financial crimes-related rules and regulations.
Ares is seeking a Compliance Associate Vice President to support the firm’s enterprise-wide conflicts management program, including oversight of executive officers and other designated access persons, with a focus on identifying and managing potential conflicts of interest related to personal investment activities and outside business activities. This role sits within the Compliance Department and serves as a key liaison between senior management, investment teams, Legal, and the Conflicts Review Group. The Associate Vice President will help ensure that proposed transactions align with the Ares Code of Ethics, regulatory obligations, and internal governance standards.
This position offers exposure to firm-wide investment activity and governance matters and is ideal for candidates with strong analytical skills, regulatory awareness, and a collaborative mindset.
Responsibilities
- Conduct conflict checks on proposed transactions involving executive officers and other designated access persons, assessing alignment with internal policies
- Identify and analyze conflicts arising from employee personal trading, private investments, and outside business activities
- Review personal disclosures, pre-clearance requests, and certifications for consistency with firm policies and regulatory standards
- Coordinate with investment professionals to gather deal information and clarify potential areas of concern
- Collaborate with Fund Legal teams to ensure fund document requirements are being properly addressed and that there is a consistent application of conflict protocols
- Advise business personnel on the application of the Ares Code of Ethics, conflicts policies, and related governance requirements
- Coordinate with Legal and Compliance teams and business stakeholders regarding information barriers, restricted list matters, and other conflict mitigation measures, as appropriate
- Track and manage the pipeline of private investment opportunity requests requiring compliance review
- Prepare and present conflict assessments to senior management for review and clearance
- Maintain detailed records of conflict reviews, decisions, and ongoing monitoring requirements
- Support conflict management efforts by identifying potential reputational, legal, or regulatory risks and recommending mitigation strategies
- Contribute to the development and refinement of risk management frameworks related to conflicts oversight and personal investment activities
- Assist with regulatory examinations, internal audits, and periodic reviews relating to conflicts management and the Code of Ethics
- Support the development, implementation, and enhancement of policies and procedures governing conflicts management and personal investment activities
REPORTING TO: Managing Director, Head of Conflicts Management and Trade Surveillance Compliance
Education
- Bachelor’s degree required; JD or advanced degree preferred
QUALIFICATIONS
- 8-12 + years of experience in compliance, legal, or regulatory roles within asset management, private equity, or investment management
- Strong understanding of the Investment Advisers Act of 1940, including Rule 204A-1 (Code of Ethics), and familiarity with the Investment Company Act of 1940 and related SEC guidance
- Experience advising on conflicts of interest, personal trading, private investment and outside business activity reviews
- Familiarity with investment committee processes and governance frameworks
- High attention to detail and ability to manage multiple concurrent reviews
- Excellent communication and interpersonal skills across teams and seniority levels
- Ability to work independently and prioritize in a fast-paced environment
REPORTING RELATIONSHIPS
Managing Director, Head of Conflicts Management and Trade Surveillance Compliance
COMPENSATION
The anticipated base salary range for this position is listed below. Total compensation may also include a discretionary performance-based bonus. Note, the range takes into account a broad spectrum of qualifications, including, but not limited to, years of relevant work experience, education, and other relevant qualifications specific to the role.
- $145,000-$195,000
The firm also offers robust Benefits offerings. Ares U.S. Core Benefits include Comprehensive Medical/Rx, Dental and Vision plans; 401(k) program with company match; Flexible Savings Accounts (FSA); Healthcare Savings Accounts (HSA) with company contribution; Basic and Voluntary Life Insurance; Long-Term Disability (LTD) and Short-Term Disability (STD) insurance; Employee Assistance Program (EAP), and Commuter Benefits plan for parking and transit.
Ares offers a number of additional benefits including access to a world-class medical advisory team, a mental health app that includes coaching, therapy and psychiatry, a mindfulness and wellbeing app, financial wellness benefit that includes access to a financial advisor, new parent leave, reproductive and adoption assistance, emergency backup care, matching gift program, education sponsorship program, and much more.
There is no set deadline to apply for this job opportunity. Applications will be accepted on an ongoing basis until the search is no longer active.
See all 372+ E-3 Visa Compliance Jobs
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Get Access To All JobsTips for Finding E-3 Visa Sponsorship in Compliance
Translate your Australian credentials for U.S. employers
ASIC, APRA, and ASX regulatory experience doesn't map directly to U.S. frameworks like SEC, FINRA, or BSA. Reframe your credentials in terms of U.S. equivalents so compliance hiring managers immediately recognize the transferable expertise.
Target employers with existing E-3 filing history
Banks, asset managers, and multinational firms that already employ Australians are far more likely to sponsor an E-3 visa without lengthy internal approvals. Search DOL Labor Condition Application disclosure data to identify employers with prior E-3 filings in compliance roles.
Confirm specialty occupation status before accepting an offer
A compliance role must require a bachelor's degree in a specific field to qualify as a specialty occupation. Titles like 'Compliance Associate' that accept any degree may not qualify, so clarify the job description's degree requirements before your employer files the LCA.
Use Migrate Mate's E-3 filing service to manage your paperwork
Once you have a signed offer, use Migrate Mate's E-3 filing service to handle your LCA and visa paperwork end-to-end, from DOL certification through consulate preparation, so filing errors don't delay your start date.
Understand your employer's LCA obligations before your interview
Your employer must certify through DOL that your role meets prevailing wage requirements before you attend your consulate appointment. Knowing this timeline, typically seven business days for LCA certification, helps you set realistic start date expectations with your new employer.
Address dual intent proactively at your consulate interview
The E-3 is a nonimmigrant visa, so consular officers will assess whether you intend to return to Australia. Compliance professionals pursuing long-term U.S. careers should prepare clear, factual answers about current ties to Australia and the defined term of their employment.
E-3 Visa Compliance: Frequently Asked Questions
How do I find Compliance jobs with E-3 visa sponsorship?
Migrate Mate is built specifically for Australian professionals searching for U.S. roles with E-3 sponsorship. Rather than filtering generic job boards, you can search compliance positions directly alongside employer E-3 filing history. Focus on financial institutions, healthcare organizations, and multinationals, as these sectors hire compliance professionals regularly and are familiar with E-3 requirements.
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 Compliance role qualify as a specialty occupation for the E-3?
Most mid-to-senior compliance roles qualify because they require a bachelor's degree in a specific field such as finance, accounting, law, or business. The key is whether the job description mandates a relevant degree rather than accepting any bachelor's degree or equivalent experience. Titles like Chief Compliance Officer, BSA Officer, or Regulatory Compliance Manager typically qualify, while entry-level positions described as degree-optional may not.
How does the E-3 compare to the H-1B for Australian compliance professionals?
The E-3 is significantly more practical for Australians in compliance. Unlike the H-1B visa, the E-3 has no lottery and no annual cap, so your employer can file at any point during the year and expect a predictable outcome. H-1B selection is random, meaning qualified compliance professionals are routinely excluded despite strong applications. The E-3 also typically processes faster, with consulate appointments available within weeks of LCA certification.
Can I change compliance employers while on an E-3 visa?
Yes, but your new employer must file a fresh LCA with DOL and you'll need to obtain a new E-3 visa stamp before or shortly after starting. Unlike H-1B portability, you can't simply transfer your E-3 status on the basis of a pending petition. Plan for a two-to-four week LCA certification period and schedule your consulate appointment before leaving your current role if possible.