E-3 Visa Compliance Officer Jobs
Compliance Officer roles in financial services, healthcare, and regulated industries qualify as E-3 specialty occupations, making them strong candidates for visa sponsorship. Australian professionals with a relevant bachelor's degree can secure two-year E-3 status with no lottery and renew it indefinitely through a U.S. employer willing to file a Labor Condition Application.
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Get Access To All JobsWork Location:
New York, New York, United States of America
Hours:
40
Line of Business:
Compliance
Pay Detail:
$100,000 - $135,000 USD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
Job Description:
Preferred Qualifications:
This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The Monitoring and Testing Team covers the TDS US businesses and certain global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance program as needed.
Depth & Scope:
Compliance Monitoring and Testing
- Assist with developing and executing the annual Compliance Testing and Monitoring plan
- Determine scope of reviews; build detailed review steps; organize documentary evidence of review
- Execute testing engagements, and prepare reports to document exceptions and action plans
- Communicate deficiencies to the business and key stakeholders, and exercise credible challenge.
- Oversee remediation of gaps identified in the testing process
- Build relationships with key stakeholders globally
- Assist in identifying areas for enhanced Monitoring, Testing or training
Core Compliance
- Develop Testing and Monitoring metrics, and contribute to department reporting
- Support issues management development and tracking of Compliance-identified findings
- Support the development of a rules inventory that covers rules and regulations applicable to TDS businesses
- Participate in special projects as they arise to enhance compliance functions
- Work closely with other support functions and the business areas to support a culture of compliance across the firm
- Contribute, as needed, to annual compliance training requirements and regulatory change impact assessments
Education & Experience:
- Bachelors degree or progressive work experience
- 5-7 Years of related experience
- JD desirable but not required
- Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them.
- Excellent interpersonal, organizational, leadership and communication (oral and written) skills.
- Client service skills – the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions.
- Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues.
- Project management skills and ability to manage multiple work streams involving different partners and groups.
- Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time.
- Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size.
- A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the firm.
- Proficient in Word, Excel and PowerPoint
Who We Are
TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we strive to make every interaction, product and experience remarkably human and refreshingly simple. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank.
Together, we are reimagining what banking can be for our clients, colleagues and communities.
Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.
Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.
Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.
If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.
We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.
Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.
Interview Process
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
Accommodation
TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.
If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
Work Location:
New York, New York, United States of America
Hours:
40
Line of Business:
Compliance
Pay Detail:
$100,000 - $135,000 USD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
Job Description:
Preferred Qualifications:
This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The Monitoring and Testing Team covers the TDS US businesses and certain global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance program as needed.
Depth & Scope:
Compliance Monitoring and Testing
- Assist with developing and executing the annual Compliance Testing and Monitoring plan
- Determine scope of reviews; build detailed review steps; organize documentary evidence of review
- Execute testing engagements, and prepare reports to document exceptions and action plans
- Communicate deficiencies to the business and key stakeholders, and exercise credible challenge.
- Oversee remediation of gaps identified in the testing process
- Build relationships with key stakeholders globally
- Assist in identifying areas for enhanced Monitoring, Testing or training
Core Compliance
- Develop Testing and Monitoring metrics, and contribute to department reporting
- Support issues management development and tracking of Compliance-identified findings
- Support the development of a rules inventory that covers rules and regulations applicable to TDS businesses
- Participate in special projects as they arise to enhance compliance functions
- Work closely with other support functions and the business areas to support a culture of compliance across the firm
- Contribute, as needed, to annual compliance training requirements and regulatory change impact assessments
Education & Experience:
- Bachelors degree or progressive work experience
- 5-7 Years of related experience
- JD desirable but not required
- Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them.
- Excellent interpersonal, organizational, leadership and communication (oral and written) skills.
- Client service skills – the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions.
- Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues.
- Project management skills and ability to manage multiple work streams involving different partners and groups.
- Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time.
- Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size.
- A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the firm.
- Proficient in Word, Excel and PowerPoint
Who We Are
TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we strive to make every interaction, product and experience remarkably human and refreshingly simple. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank.
Together, we are reimagining what banking can be for our clients, colleagues and communities.
Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.
Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.
Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.
If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.
We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.
Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.
Interview Process
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
Accommodation
TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.
If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
See all 307+ Compliance Officer jobs
Sign up for free to unlock all listings, filter by visa type, and get alerts for new Compliance Officer roles.
Get Access To All JobsTips for Finding E-3 Visa Sponsorship as a Compliance Officer
Translate your Australian credentials for U.S. employers
ASIC-regulated compliance experience and APRA familiarity don't map automatically to U.S. job descriptions. Frame your background around equivalent U.S. frameworks like SEC, FINRA, or OCC oversight so hiring managers recognize your specialty occupation standing before the E-3 question even comes up.
Target employers with active LCA filing histories
Search the DOL's Office of Foreign Labor Certification disclosure data to identify companies that have certified LCAs for Compliance Officer roles. Employers who have filed before understand the process and are far less likely to stall when you bring up E-3 sponsorship.
Raise E-3 sponsorship early in salary negotiations
The LCA requires your offered wage to meet the prevailing wage for your role and location. Bring this up before final offer stage so the employer's HR or legal team can confirm the salary structure meets DOL requirements without renegotiating after you've accepted.
Clarify your E-3 eligibility before interviews
Many U.S. compliance teams default to assuming international hires need H-1B sponsorship, which triggers lottery anxiety. Confirming upfront that you're an Australian citizen eligible for the E-3, which has no lottery and no cap, removes the most common reason employers hesitate to proceed.
Use Migrate Mate's E-3 filing service for your LCA and paperwork
Once you have a written offer, use Migrate Mate's E-3 filing service to handle your LCA submission to DOL and your full consulate package. This keeps the process moving without placing the compliance documentation burden on an employer unfamiliar with the E-3.
Verify your degree field supports a specialty occupation claim
USCIS requires a direct relationship between your degree and the Compliance Officer role. A degree in law, accounting, finance, or business administration supports the claim clearly. A general arts or unrelated science degree may need supplementary work experience documented under the three-for-one equivalency rule.
Compliance Officer jobs are hiring across the US. Find yours.
Find Compliance Officer JobsCompliance Officer E-3 Visa: Frequently Asked Questions
Where can I find Compliance Officer jobs that offer E-3 visa sponsorship?
Migrate Mate is built specifically for Australian professionals searching for U.S. roles with E-3 sponsorship. Rather than filtering through general job boards that don't surface visa status, Migrate Mate connects you directly with employers who have either filed E-3 LCAs before or have indicated willingness to sponsor, saving you from cold outreach to companies unfamiliar with the visa.
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 Officer role qualify as a specialty occupation for the E-3?
Yes, Compliance Officer roles typically qualify when the position genuinely requires a bachelor's degree or higher in a specific field such as law, finance, accounting, or business administration. Roles that accept any degree or substitute experience freely are harder to support. The strongest E-3 cases show a direct theoretical and practical connection between the degree field and the compliance function the employer needs filled.
How does the E-3 visa compare to the H-1B for Compliance Officer roles?
The E-3 has no annual lottery and no numerical cap, so you can apply any time of year once you have a job offer and a certified LCA. H-1B registration opens once per year and selection is random, meaning qualified candidates often wait one to three years before getting a slot. For Compliance Officers with Australian citizenship, the E-3 is a direct path without the lottery risk that makes H-1B planning unpredictable.
Can I switch Compliance Officer employers on an E-3 without losing status?
You can change employers, but you need a new LCA certified by the DOL and a new E-3 visa issued for the incoming employer before you start work. There's no portability provision like AC21 under the H-1B. If you're currently in the U.S. on E-3 status, timing the transition carefully so your current visa validity covers the gap is essential to maintaining lawful status.
See which Compliance Officer employers are hiring and sponsoring visas right now.
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