E-3 Visa Compliance Lead Jobs
Compliance Lead roles qualify for E-3 visa sponsorship as specialty occupations requiring a bachelor's degree in law, finance, regulatory affairs, or a related field. Australian professionals can secure two-year renewable status with no lottery and no annual cap, making this one of the more straightforward U.S. work visa pathways for senior compliance professionals.
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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 373+ E-3 Visa Compliance Lead Jobs
Sign up for free to unlock all listings, filter by visa type, and get alerts for new E-3 Visa Compliance Lead Jobs.
Get Access To All JobsTips for Finding E-3 Visa Sponsorship in Compliance Lead
Frame your credentials for U.S. regulatory contexts
Australian compliance experience with APRA, ASIC, or AML/CTF frameworks translates well to U.S. roles, but your resume needs to name the U.S. equivalents explicitly. Map your work to SEC, FINRA, OCC, or FinCEN frameworks so hiring managers immediately recognize the regulatory overlap.
Target employers with existing E-3 filing history
Financial institutions, healthcare systems, and tech companies that have sponsored Australians before understand the E-3 visa process and won't balk at your visa status. Use Migrate Mate to filter for employers actively seeking Compliance Lead candidates with E-3 visa sponsorship rather than cold-applying broadly.
Get your LCA filed before accepting an offer letter
The Labor Condition Application must be certified by DOL before your visa application can proceed. Asking your employer to start the LCA the moment you have a verbal offer avoids weeks of unnecessary delay between acceptance and your consulate appointment.
Use Migrate Mate's E-3 filing service to handle your LCA and visa paperwork
Compliance Lead roles often involve third-party worksites or matrix reporting structures that complicate the LCA job site requirements. Migrate Mate's E-3 filing service manages the entire process from offer to consulate appointment, including LCA amendments if your work location changes post-filing.
Prepare your specialty occupation documentation in advance
Consular officers sometimes probe whether a Compliance Lead role genuinely requires a degree rather than general business experience. Bring your job description, your degree certificates, and any professional certifications like CAMS or CRCM to demonstrate the specialized knowledge the role demands.
Understand the E-3 port-of-entry timing for compliance roles
Your I-94 admission period is set at the port of entry and may differ from your visa stamp validity. If your Compliance Lead role involves frequent travel between Australia and the U.S., confirm your authorized stay period with CBP each time you re-enter rather than relying on your visa expiry date.
E-3 Visa Compliance Lead: Frequently Asked Questions
How do I find Compliance Lead jobs that offer E-3 visa sponsorship?
Most job postings don't explicitly advertise E-3 sponsorship because many employers don't distinguish it from H-1B visa sponsorship in their listings. Migrate Mate is built specifically for this search: it surfaces Compliance Lead roles at employers with demonstrated visa filing history, so you can focus on companies already set up to sponsor Australian professionals rather than filtering through hundreds of listings manually.
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 Lead role qualify as a specialty occupation for the E-3 visa?
Yes. Compliance Lead positions routinely qualify because they require specialized knowledge of regulatory frameworks, risk management, or financial law that is tied to a specific bachelor's degree or higher. Roles in financial services compliance, healthcare regulatory affairs, and legal compliance departments have well-established precedent. The key is that the job description must link a degree requirement in a specific field to the duties performed, not just list a degree as a general preference.
How does the E-3 visa compare to the H-1B for Compliance Lead roles?
For Australian nationals, the E-3 is substantially easier to obtain for a Compliance Lead position. There's no lottery, no annual cap that runs out, and processing is handled at an Australian consulate rather than through USCIS adjudication. The H-1B requires winning a lottery slot before any petition is filed, which introduces years of uncertainty. The E-3 lets you move from a signed offer to a consulate appointment in a matter of weeks, and you can renew it indefinitely as long as the employment continues.
Can I switch Compliance Lead employers while on an E-3 visa?
Yes, but the E-3 is employer-specific, so you can't simply start work at a new company on your existing visa. Your new employer needs to file a fresh LCA with DOL and you'll need to attend a consulate appointment for a new E-3 stamp. There's no formal grace period statute for E-3 holders between jobs the way there is for H-1B, so plan your transition timing carefully with your new employer's HR or immigration team before leaving your current role.