E-3 Visa Compliance Manager Jobs
Compliance Manager roles qualify for E-3 visa sponsorship as specialty occupations requiring a bachelor's degree in law, finance, business, or a related field. Australian professionals bring recognized credentials and no lottery exposure, the E-3 has a 10,500 annual cap that has never been exhausted, making sponsorship straightforward for qualified candidates.
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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 Manager Jobs
Sign up for free to unlock all listings, filter by visa type, and get alerts for new E-3 Visa Compliance Manager Jobs.
Get Access To All JobsTips for Finding E-3 Visa Sponsorship as a Compliance Manager
Translate your credentials for U.S. compliance frameworks
U.S. employers expect familiarity with specific regulatory regimes, AML, SOX, FINRA, or HIPAA depending on the sector. Map your Australian compliance experience to these equivalents in your resume before applying.
Target industries with established LCA filing histories
Financial services, healthcare, and tech firms file Labor Condition Applications regularly for compliance roles. Prioritize employers who already understand the E-3 visa process, they won't need convincing that sponsorship is feasible.
Raise the E-3 after a verbal offer, not before
Introduce sponsorship once the employer has confirmed they want you. At that point, clarify that the E-3 requires no lottery, no cap anxiety, and less employer paperwork than H-1B visa, most hiring managers are unfamiliar with how simple it actually is.
Get your credential evaluation ready before interviews
Australian three-year bachelor's degrees are generally accepted for E-3 specialty occupation purposes, but some employers request a foreign credential evaluation. Have a NACES-approved evaluation ready so the process doesn't stall post-offer.
Use Migrate Mate's E-3 filing service for the LCA and paperwork
The Labor Condition Application must be certified by the DOL before your consulate appointment. Migrate Mate's E-3 filing service handles the LCA filing, visa paperwork, and consulate preparation end-to-end so you're not managing government portals yourself.
Search for E-3 sponsorship roles through Migrate Mate
Generic job searches surface roles regardless of visa sponsorship willingness. Migrate Mate filters for employers actively open to E-3 candidates, cutting out compliance positions where sponsorship was never a realistic option.
E-3 Visa Compliance Manager: Frequently Asked Questions
How do I find Compliance Manager jobs that offer E-3 visa sponsorship?
Migrate Mate is built specifically for this search, it surfaces Compliance Manager roles at employers who are open to E-3 sponsorship, so you're not filtering through listings where visa support was never on the table. Standard job searches don't distinguish between employers willing to file an LCA and those who won't, which wastes significant time for Australian candidates.
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 Manager role qualify as a specialty occupation for the E-3?
Yes. Compliance Manager positions typically require at minimum a bachelor's degree in law, finance, accounting, business administration, or a related field, which satisfies the E-3 specialty occupation definition. Your employer documents this qualification through the Labor Condition Application filed with the DOL. Roles requiring sector-specific credentials, such as CAMS for AML compliance or a JD for legal compliance functions, strengthen the specialty occupation case further.
How does the E-3 compare to the H-1B for Compliance Manager roles?
For Australian nationals, the E-3 is materially easier to obtain. There is no lottery, no random selection, and the 10,500 annual cap has never come close to being reached. H-1B selection is capped at 85,000 per year and oversubscribed, meaning many qualified candidates go unselected regardless of merit. The E-3 is also renewable indefinitely in two-year increments, so long as you remain in a qualifying role.
Can I change employers after starting a Compliance Manager role on an E-3?
Yes, but the E-3 is employer-specific, you need a new LCA and visa stamp tied to the new employer before you start working for them. If you're already in the U.S., a change of employer triggers a fresh filing. There is no H-1B-style portability under the E-3, so plan the transition with enough lead time to avoid a gap in authorized work status.