E-3 Visa Compliance Officer Jobs
Compliance Officer roles in financial services, healthcare, and regulated industries qualify as E-3 visa 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 JobsAt Franklin Templeton, we believe success is built through powerful partnerships. As a forward thinking asset manager, we build dynamic relationships with clients, understand their goals, and navigate complex markets together. We leverage cutting edge strategies and deep insights to unlock opportunities for long term wealth creation. Our talented, global teams bring expertise that is both broad and unique.
From our welcoming, inclusive, and supportive culture to our globally diverse business, we offer opportunities not only to help you reach your potential, but also to contribute to our clients’ success.
About the Department
Franklin Templeton’s Regulatory Compliance team provides oversight and guidance to the regulated entities within the organization to ensure they adhere to rules and regulations and internal policies and procedures. You’ll be responsible for supporting Franklin Templetons Transfer Agents and Franklin Distributors, LLC broker-dealer business.
What is the Compliance Officer (Transfer Agent/Registration) responsible for?
The Compliance Officer - Regulatory Compliance team provides compliance support and oversight to US transfer agents and America’s distribution. The Compliance Officer will assist the Compliance Manager with meeting certain compliance obligations which include regulatory filings, drafting/updating policies and procedures, and providing compliance guidance, etc.
What are the ongoing responsibilities of a Compliance Officer – Transfer Agent/ Registration
- Provide oversight and compliance guidance to multiple transfer agents
- Develop and update transfer agent and compliance policies and procedures
- Knowledge of transfer agent and broker-dealer regulations (SEC FINRA and NFA)
- Compile and submit routine SEC, FINRA, MSRB and NFA regulatory filings
- Assist with preparation of responses to information requests and inquiries related to regulatory information requests and examinations
- Serve as a resource to internal business partners with compliance related inquiries
- Research rules and regulations and how they apply to the different business areas
- You will evaluate compliance risks and advise on projects and initiatives
What ideal qualifications, skills & experience would help someone to be successful?
- 7+ years of compliance, regulatory, transfer agency, broker-dealer, or related financial services experience.
- Bachelor's degree or equivalent experience
- Working knowledge of SEC, FINRA, NFA, and MSRB rules, regulations, and regulatory reporting requirements.
- Experience developing, reviewing, and maintaining compliance policies, procedures, and controls.
- Demonstrated ability to research and interpret regulatory requirements and provide practical compliance guidance to manager and business partners.
- Proven ability to identify, assess, and mitigate compliance risks while supporting business initiatives and projects.
- Strong organizational and project management skills with the ability to effectively manage multiple priorities and deadlines in a fast-paced environment.
- Excellent written and verbal communication skills, with the ability to collaborate effectively across all levels of the organization.
- High degree of accuracy, attention to detail, and professional judgment.
- Self-motivated and proactive, with the ability to work independently and drive initiatives to completion.
- Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook) and comfort leveraging emerging technologies, including AI-enabled tools, to enhance productivity and efficiency.
Compensation Range: Franklin Templeton offers employees a competitive and valuable range of total rewards—monetary and non-monetary — designed to support their well-being and recognize their time, talents, and results. Along with base compensation, employees are eligible for an annual discretionary bonus, a 401(k) plan with a generous match, and recognition rewards. We also offer a comprehensive benefits package, which includes a range of competitive healthcare options, insurance, and disability benefits, employee stock investment program, learning resources, career development programs, reimbursement for certain education expenses, paid time off (vacation / holidays / sick / leave / parental & caregiving leave / bereavement / volunteering / floating holidays) and a motivational wellbeing program. We expect the annual salary for this position to range between $125,000 - $145,000, depending on location and level of relevant experience, plus discretionary bonus.
LI-Hybrid
At Franklin Templeton, we believe your benefits should support your life, your goals, and your future. That’s why we offer a comprehensive Total Rewards package designed to help you thrive both personally and professionally.
Highlights of our benefits include:
- Paid Time Off: Three weeks of PTO in your first year
- Health Coverage: Competitive medical, dental, and vision insurance to support your well-being
- Retirement Savings: 401(k) plan with an 85% company match on pre-tax and/or Roth contributions, up to IRS limits
- Equity & Investing: Employee Stock Investment Plan (ESIP) with discounted share purchase opportunities
- Learning Education Assistance Program (LEAP): To support your ongoing growth and career advancement
- Employee Investment Benefits: Opportunity to purchase company funds with no sales charge
Franklin Templeton is an Equal Opportunity Employer. We are committed to providing equal employment opportunities to all applicants and employees, and we evaluate qualified applicants without regard to ancestry, age, color, disability, genetic information, gender, gender identity, or gender expression, marital status, medical condition, military or veteran status, national origin, race, religion, sex, sexual orientation, and any other basis protected by federal, state, or local law, ordinance, or regulation.
At Franklin Templeton, we believe success is built through powerful partnerships. As a forward thinking asset manager, we build dynamic relationships with clients, understand their goals, and navigate complex markets together. We leverage cutting edge strategies and deep insights to unlock opportunities for long term wealth creation. Our talented, global teams bring expertise that is both broad and unique.
From our welcoming, inclusive, and supportive culture to our globally diverse business, we offer opportunities not only to help you reach your potential, but also to contribute to our clients’ success.
About the Department
Franklin Templeton’s Regulatory Compliance team provides oversight and guidance to the regulated entities within the organization to ensure they adhere to rules and regulations and internal policies and procedures. You’ll be responsible for supporting Franklin Templetons Transfer Agents and Franklin Distributors, LLC broker-dealer business.
What is the Compliance Officer (Transfer Agent/Registration) responsible for?
The Compliance Officer - Regulatory Compliance team provides compliance support and oversight to US transfer agents and America’s distribution. The Compliance Officer will assist the Compliance Manager with meeting certain compliance obligations which include regulatory filings, drafting/updating policies and procedures, and providing compliance guidance, etc.
What are the ongoing responsibilities of a Compliance Officer – Transfer Agent/ Registration
- Provide oversight and compliance guidance to multiple transfer agents
- Develop and update transfer agent and compliance policies and procedures
- Knowledge of transfer agent and broker-dealer regulations (SEC FINRA and NFA)
- Compile and submit routine SEC, FINRA, MSRB and NFA regulatory filings
- Assist with preparation of responses to information requests and inquiries related to regulatory information requests and examinations
- Serve as a resource to internal business partners with compliance related inquiries
- Research rules and regulations and how they apply to the different business areas
- You will evaluate compliance risks and advise on projects and initiatives
What ideal qualifications, skills & experience would help someone to be successful?
- 7+ years of compliance, regulatory, transfer agency, broker-dealer, or related financial services experience.
- Bachelor's degree or equivalent experience
- Working knowledge of SEC, FINRA, NFA, and MSRB rules, regulations, and regulatory reporting requirements.
- Experience developing, reviewing, and maintaining compliance policies, procedures, and controls.
- Demonstrated ability to research and interpret regulatory requirements and provide practical compliance guidance to manager and business partners.
- Proven ability to identify, assess, and mitigate compliance risks while supporting business initiatives and projects.
- Strong organizational and project management skills with the ability to effectively manage multiple priorities and deadlines in a fast-paced environment.
- Excellent written and verbal communication skills, with the ability to collaborate effectively across all levels of the organization.
- High degree of accuracy, attention to detail, and professional judgment.
- Self-motivated and proactive, with the ability to work independently and drive initiatives to completion.
- Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook) and comfort leveraging emerging technologies, including AI-enabled tools, to enhance productivity and efficiency.
Compensation Range: Franklin Templeton offers employees a competitive and valuable range of total rewards—monetary and non-monetary — designed to support their well-being and recognize their time, talents, and results. Along with base compensation, employees are eligible for an annual discretionary bonus, a 401(k) plan with a generous match, and recognition rewards. We also offer a comprehensive benefits package, which includes a range of competitive healthcare options, insurance, and disability benefits, employee stock investment program, learning resources, career development programs, reimbursement for certain education expenses, paid time off (vacation / holidays / sick / leave / parental & caregiving leave / bereavement / volunteering / floating holidays) and a motivational wellbeing program. We expect the annual salary for this position to range between $125,000 - $145,000, depending on location and level of relevant experience, plus discretionary bonus.
LI-Hybrid
At Franklin Templeton, we believe your benefits should support your life, your goals, and your future. That’s why we offer a comprehensive Total Rewards package designed to help you thrive both personally and professionally.
Highlights of our benefits include:
- Paid Time Off: Three weeks of PTO in your first year
- Health Coverage: Competitive medical, dental, and vision insurance to support your well-being
- Retirement Savings: 401(k) plan with an 85% company match on pre-tax and/or Roth contributions, up to IRS limits
- Equity & Investing: Employee Stock Investment Plan (ESIP) with discounted share purchase opportunities
- Learning Education Assistance Program (LEAP): To support your ongoing growth and career advancement
- Employee Investment Benefits: Opportunity to purchase company funds with no sales charge
Franklin Templeton is an Equal Opportunity Employer. We are committed to providing equal employment opportunities to all applicants and employees, and we evaluate qualified applicants without regard to ancestry, age, color, disability, genetic information, gender, gender identity, or gender expression, marital status, medical condition, military or veteran status, national origin, race, religion, sex, sexual orientation, and any other basis protected by federal, state, or local law, ordinance, or regulation.
See all 34+ E-3 Visa Compliance Officer Jobs
Sign up for free to unlock all listings, filter by visa type, and get alerts for new E-3 Visa Compliance Officer Jobs.
Get Access To All JobsTips for Finding E-3 Visa Sponsorship in 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 visa 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.
E-3 Visa Compliance Officer: 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.