E-3 Visa Compliance Associate Jobs
Compliance Associate roles qualify for E-3 visa sponsorship because they meet the specialty occupation standard, requiring at least a bachelor's degree in a relevant field like law, finance, or business. The E-3 has no lottery and no annual cap, making it a straightforward path for Australian professionals with a U.S. job offer.
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Get Access To All JobsWe're seeking someone to join our team as a Compliance Associate in Wealth Management Compliance to advise EquityZen and our quickly growing Private Markets business as we build compliant, scalable products and platforms.
In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is an Associate level position within the Wealth Management Compliance Investment Products Advisory team, which provides advice and guidance to its business units, offers advice from product inception to product management, ensures alignment with regulatory initiatives, and creates efficient controls and processes that mitigate risk.
Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.
What you'll do in the role:
- Help develop a cutting-edge FinTech marketplace by assessing and implementing new technologies, identifying opportunities for automation, and optimizing processes.
- Work cross-functionally with legal, deal, product, technology, and marketing teams.
- Communicate directly with customers and gain valuable client exposure.
- Assist with regulatory examinations, securities law matters, and the review of advertising and marketing materials.
- Proactively update, test, maintain, and develop policies and procedures to meet changing regulatory milestones.
- Engage in risk-based monitoring, communications review, and help the firm meet all compliance requirements.
- Prepare Form ADV, 4530 Complaint filings, and other necessary regulatory filings.
- Provide training and advocate for a strong culture of compliance throughout the organization.
- Stay informed and continuously learn about the most promising venture-backed companies and VC firms.
What you'll bring to the role:
- 3+ years of experience in a compliance role at a broker-dealer, investment advisor, investment bank, or asset manager (experience at the SEC's Division of Examinations/OCIE, FINRA, or the OSC is a strong plus).
- Active Series 7 and Series 24 licenses.
- Experience reviewing marketing materials and advertising, specifically including performance advertising.
- Working knowledge of securities laws, private placements, FINRA rules, SEC rules, and AML regulations.
- Exceptional issue-spotting skills and a proactive orientation; able to identify potential problems, propose actionable solutions, take ownership, and drive processes to conclusion.
- Collaborative team player with outstanding initiative, organizational skills, attention to detail, uncompromising integrity, and outstanding judgment.
- Strong verbal and written communication skills, bringing enthusiasm and a desire to teach others about legal obligations and compliance topics.
- Comfort adapting existing guidance to new markets, accompanied by a strong desire to research and learn about new and emerging issues.
- Experience in private placements, secondary markets, or FinTech marketplaces is a plus.
- Experience working with an Exempt Market Dealer, including having taken (or possessing an interest in taking) the Exempt Market Products Exam, the Canadian Securities Course Exam, or other Canadian exams.
- CAMS certification is a plus.
WHAT YOU CAN EXPECT FROM MORGAN STANLEY:
At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.
Expected base pay rates for the role will be between $80,000 and $115,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.
Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.
Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.
We're seeking someone to join our team as a Compliance Associate in Wealth Management Compliance to advise EquityZen and our quickly growing Private Markets business as we build compliant, scalable products and platforms.
In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is an Associate level position within the Wealth Management Compliance Investment Products Advisory team, which provides advice and guidance to its business units, offers advice from product inception to product management, ensures alignment with regulatory initiatives, and creates efficient controls and processes that mitigate risk.
Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.
What you'll do in the role:
- Help develop a cutting-edge FinTech marketplace by assessing and implementing new technologies, identifying opportunities for automation, and optimizing processes.
- Work cross-functionally with legal, deal, product, technology, and marketing teams.
- Communicate directly with customers and gain valuable client exposure.
- Assist with regulatory examinations, securities law matters, and the review of advertising and marketing materials.
- Proactively update, test, maintain, and develop policies and procedures to meet changing regulatory milestones.
- Engage in risk-based monitoring, communications review, and help the firm meet all compliance requirements.
- Prepare Form ADV, 4530 Complaint filings, and other necessary regulatory filings.
- Provide training and advocate for a strong culture of compliance throughout the organization.
- Stay informed and continuously learn about the most promising venture-backed companies and VC firms.
What you'll bring to the role:
- 3+ years of experience in a compliance role at a broker-dealer, investment advisor, investment bank, or asset manager (experience at the SEC's Division of Examinations/OCIE, FINRA, or the OSC is a strong plus).
- Active Series 7 and Series 24 licenses.
- Experience reviewing marketing materials and advertising, specifically including performance advertising.
- Working knowledge of securities laws, private placements, FINRA rules, SEC rules, and AML regulations.
- Exceptional issue-spotting skills and a proactive orientation; able to identify potential problems, propose actionable solutions, take ownership, and drive processes to conclusion.
- Collaborative team player with outstanding initiative, organizational skills, attention to detail, uncompromising integrity, and outstanding judgment.
- Strong verbal and written communication skills, bringing enthusiasm and a desire to teach others about legal obligations and compliance topics.
- Comfort adapting existing guidance to new markets, accompanied by a strong desire to research and learn about new and emerging issues.
- Experience in private placements, secondary markets, or FinTech marketplaces is a plus.
- Experience working with an Exempt Market Dealer, including having taken (or possessing an interest in taking) the Exempt Market Products Exam, the Canadian Securities Course Exam, or other Canadian exams.
- CAMS certification is a plus.
WHAT YOU CAN EXPECT FROM MORGAN STANLEY:
At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.
Expected base pay rates for the role will be between $80,000 and $115,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.
Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.
Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.
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Get Access To All JobsTips for Finding E-3 Visa Sponsorship as a Compliance Associate
Translate your Australian credentials for U.S. employers
ASIC regulatory experience and Australian financial compliance frameworks don't map directly onto U.S. terms. Reframe your resume around equivalent U.S. standards like BSA, AML, and SEC compliance so hiring managers immediately recognize your qualifications as specialty occupation-level work.
Target employers with existing E-3 filing history
Banks, asset managers, and fintech firms with dedicated compliance functions are most familiar with E-3 sponsorship. Prioritize employers whose job postings specify a degree in a compliance-related field, as this wording directly supports the specialty occupation determination DOL requires.
Clarify sponsorship scope before accepting an offer
Some employers confuse E-3 with H-1B and assume a lottery is involved. Before signing, confirm the employer will file the Labor Condition Application with DOL and cover the associated government fees, since the LCA must be certified before your consulate appointment.
Use Migrate Mate's E-3 filing service for the LCA and paperwork
Once you have an offer, use Migrate Mate's E-3 filing service to handle your LCA and visa paperwork end-to-end. This is where Compliance Associate applications stall most often, as the specialty occupation nexus between your degree and the role requires precise documentation.
Prepare a degree-to-role mapping document
Consular officers assess whether your specific degree field supports the compliance role offered. A one-page summary linking your degree coursework to the job duties strengthens your application, especially if your degree is in a related field like accounting rather than a compliance-specific program.
Understand your E-3 status during employer transitions
Your E-3 is employer-specific, so changing compliance roles requires a new LCA and visa application. If you're already in the U.S. on another visa status, confirm with USCIS whether a change of status or consular processing is the right path before your new role starts.
Compliance Associate jobs are hiring across the US. Find yours.
Find Compliance Associate JobsCompliance Associate E-3 Visa: Frequently Asked Questions
How do I find Compliance Associate jobs that offer E-3 visa sponsorship?
Migrate Mate is the most direct way to search for Compliance Associate roles with E-3 sponsorship, as it filters specifically for employers familiar with the visa. Because many compliance teams at banks, fintech firms, and asset managers sponsor E-3 candidates regularly, searching by role type and industry narrows the field quickly.
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 Associate role qualify as a specialty occupation for the E-3?
Yes, provided the position requires at least a bachelor's degree in a specific field such as finance, law, accounting, or business administration. The key is that the job description must tie degree-level knowledge to the compliance duties performed. Roles that accept any bachelor's degree regardless of field can face challenges at the LCA stage.
How does the E-3 compare to H-1B for Compliance Associate roles?
The E-3 has two practical advantages over H-1B for Compliance Associates: no lottery and no annual cap. H-1B selection is random and capped at 85,000 per year, meaning qualified candidates are routinely excluded. With the E-3, any Australian national who secures a qualifying offer and meets the specialty occupation standard can apply directly at a U.S. consulate without waiting for a lottery outcome.
Can I switch compliance employers while on an E-3 visa?
You can, but the E-3 is tied to a specific employer and role. Moving to a new compliance position requires the new employer to file a fresh Labor Condition Application with DOL and you to obtain a new E-3 visa before starting. There is no portability provision as exists under some other visa categories, so plan the transition timeline carefully.
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