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 JobsRequisition ID
93722
Department
Field Experience Value Stream
Job Function
Field Experience Value Stream
Location
Maitland,Florida,United States
Role Location Designation
Fully Onsite
Location Designation: Fully Onsite
Role Overview:
As a key member of New York Life’s Agency distribution system, you will work as a principal in maintaining and executing critical supervisory systems within the General Office. This role involves direct oversight of agents, Registered Representatives, and Investment Advisor Representatives through regular inspections, compliance training, and supervision programs.
You will also serve as a primary compliance resource, ensuring adherence to regulatory requirements and helping to uphold the firm’s high standards. Ideal candidates bring a solid foundation of industry knowledge, relevant licenses, and a proactive, detail-oriented approach to promoting operational excellence and regulatory integrity.
What You’ll Do:
- Conducts Periodic Inspections and Supervisory Interviews with Agents, Registered Reps & IARs and handles all follow-up required
- Handles the Seminar Supervision Program
- Handles the Enhanced Supervision Programs for Agents and Registered Reps
- Handles the Financial Supervision Program for Agents and Registered Reps
- Conducts Incoming and Outgoing Correspondence Reviews and Resolution of Red Flag Items
- Assists the Managing Partner in recommending and delivering Disciplinary Actions
- Serves as the “point person” to field and answer Standards and Compliance related questions from Agents, Registered Reps, IARs and Field Managers
- Conducts Site Inspections for General Offices, Sales Offices and Satellite Offices
- Assists with Complaint Review Handling and Resolution
- Conducts Standard and Compliance Related Training for Agents, Registered Reps, and IARs
- Assists with follow up for all agent, Registered Rep and IAR regulatory year-end requirements
What You’ll Bring:
Required Skills:
- Bachelor’s Degree and/or equivalent experience
- Minimum 2 years of industry experience
- Comprehensive knowledge of registered and non-registered products
- Must have Series 7 & Series 24 (Or obtain Series 24 within 90 days)
- Series 65, 66 or ChFC (or obtain within 12 months)
- Excellent communication skills (written and verbal)
- Strong analytical skills required
- Must be a self-starter, results-oriented, a team player and be able to prioritize responsibilities
Preferred Skills:
- Preferred Series 51 or 53
Pay Transparency
Salary Range: $90,000-$128,500
Overtime eligible: Exempt
Discretionary bonus eligible: Yes
Sales bonus eligible: No
Actual base salary will be determined based on several factors but not limited to individual’s experience, skills, qualifications, and job location. Additionally, employees are eligible for an annual discretionary bonus. In addition to base salary, employees may also be eligible to participate in an incentive program.
Please note: This role requires FINRA licensed and/or FINRA Associated Person pre-hire fingerprinting.
Company Overview
At New York Life, our 180-year legacy of purpose and integrity fuels our future. As we evolve into a more technology-, data-, and AI-enabled organization, we remain grounded in the values that drive lasting impact.
Our diverse business portfolio creates opportunities to make a difference across industries and communities—inviting bold thinking, collaborative problem-solving, and purpose-driven innovation. Here, you’ll find the rare balance of long-standing stability and forward momentum, supported by an inclusive team that honors tradition while embracing progress.
As a Fortune 100 mutual company, we offer a place to grow your skills, contribute to meaningful work, and deliver solutions that matter. Your ideas drive what’s next, and your growth powers it.
Our Benefits
We provide a full package of benefits for employees – and have unique offerings for a modern workforce, including leave programs, adoption assistance, and student loan repayment programs. Based on feedback from our employees, we continue to refine and add benefits to our offering, so that you can flourish both inside and outside of work.
Our Commitment to Inclusion
At New York Life, fostering an inclusive workplace is fundamental to who we are and how we serve our communities. We have a longstanding commitment to creating an environment where individuals can contribute their best and succeed together. This foundation is rooted in our core values of humanity and integrity, ensuring that every employee feels valued and supported. By embracing a broad range of perspectives and experiences, we achieve greater success and fulfill our promise of providing financial security and peace of mind to families across all communities.
Recognized as one of Fortune’s World’s Most Admired Companies, New York Life is committed to improving local communities through a culture of employee giving and volunteerism, supported by the Foundation. We're proud that due to our mutuality, we operate in the best interests of our policy owners.
Requisition ID
93722
Department
Field Experience Value Stream
Job Function
Field Experience Value Stream
Location
Maitland,Florida,United States
Role Location Designation
Fully Onsite
Location Designation: Fully Onsite
Role Overview:
As a key member of New York Life’s Agency distribution system, you will work as a principal in maintaining and executing critical supervisory systems within the General Office. This role involves direct oversight of agents, Registered Representatives, and Investment Advisor Representatives through regular inspections, compliance training, and supervision programs.
You will also serve as a primary compliance resource, ensuring adherence to regulatory requirements and helping to uphold the firm’s high standards. Ideal candidates bring a solid foundation of industry knowledge, relevant licenses, and a proactive, detail-oriented approach to promoting operational excellence and regulatory integrity.
What You’ll Do:
- Conducts Periodic Inspections and Supervisory Interviews with Agents, Registered Reps & IARs and handles all follow-up required
- Handles the Seminar Supervision Program
- Handles the Enhanced Supervision Programs for Agents and Registered Reps
- Handles the Financial Supervision Program for Agents and Registered Reps
- Conducts Incoming and Outgoing Correspondence Reviews and Resolution of Red Flag Items
- Assists the Managing Partner in recommending and delivering Disciplinary Actions
- Serves as the “point person” to field and answer Standards and Compliance related questions from Agents, Registered Reps, IARs and Field Managers
- Conducts Site Inspections for General Offices, Sales Offices and Satellite Offices
- Assists with Complaint Review Handling and Resolution
- Conducts Standard and Compliance Related Training for Agents, Registered Reps, and IARs
- Assists with follow up for all agent, Registered Rep and IAR regulatory year-end requirements
What You’ll Bring:
Required Skills:
- Bachelor’s Degree and/or equivalent experience
- Minimum 2 years of industry experience
- Comprehensive knowledge of registered and non-registered products
- Must have Series 7 & Series 24 (Or obtain Series 24 within 90 days)
- Series 65, 66 or ChFC (or obtain within 12 months)
- Excellent communication skills (written and verbal)
- Strong analytical skills required
- Must be a self-starter, results-oriented, a team player and be able to prioritize responsibilities
Preferred Skills:
- Preferred Series 51 or 53
Pay Transparency
Salary Range: $90,000-$128,500
Overtime eligible: Exempt
Discretionary bonus eligible: Yes
Sales bonus eligible: No
Actual base salary will be determined based on several factors but not limited to individual’s experience, skills, qualifications, and job location. Additionally, employees are eligible for an annual discretionary bonus. In addition to base salary, employees may also be eligible to participate in an incentive program.
Please note: This role requires FINRA licensed and/or FINRA Associated Person pre-hire fingerprinting.
Company Overview
At New York Life, our 180-year legacy of purpose and integrity fuels our future. As we evolve into a more technology-, data-, and AI-enabled organization, we remain grounded in the values that drive lasting impact.
Our diverse business portfolio creates opportunities to make a difference across industries and communities—inviting bold thinking, collaborative problem-solving, and purpose-driven innovation. Here, you’ll find the rare balance of long-standing stability and forward momentum, supported by an inclusive team that honors tradition while embracing progress.
As a Fortune 100 mutual company, we offer a place to grow your skills, contribute to meaningful work, and deliver solutions that matter. Your ideas drive what’s next, and your growth powers it.
Our Benefits
We provide a full package of benefits for employees – and have unique offerings for a modern workforce, including leave programs, adoption assistance, and student loan repayment programs. Based on feedback from our employees, we continue to refine and add benefits to our offering, so that you can flourish both inside and outside of work.
Our Commitment to Inclusion
At New York Life, fostering an inclusive workplace is fundamental to who we are and how we serve our communities. We have a longstanding commitment to creating an environment where individuals can contribute their best and succeed together. This foundation is rooted in our core values of humanity and integrity, ensuring that every employee feels valued and supported. By embracing a broad range of perspectives and experiences, we achieve greater success and fulfill our promise of providing financial security and peace of mind to families across all communities.
Recognized as one of Fortune’s World’s Most Admired Companies, New York Life is committed to improving local communities through a culture of employee giving and volunteerism, supported by the Foundation. We're proud that due to our mutuality, we operate in the best interests of our policy owners.
See all 1,638+ Compliance Manager jobs
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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 process, they won't need convincing that sponsorship is feasible.
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.
Compliance Manager jobs are hiring across the US. Find yours.
Find Compliance Manager JobsCompliance Manager E-3 Visa: 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.
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