E-3 Visa Compliance Specialist Jobs
Compliance Specialist roles qualify for E-3 visa sponsorship as specialty occupations requiring a bachelor's degree in fields like law, finance, or business administration. Australian professionals benefit from no annual cap and no lottery, making it straightforward to secure U.S. positions in regulatory affairs, AML compliance, and risk management.
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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 Specialist Jobs
Sign up for free to unlock all listings, filter by visa type, and get alerts for new E-3 Visa Compliance Specialist Jobs.
Get Access To All JobsTips for Finding E-3 Visa Sponsorship as a Compliance Specialist
Translate your Australian credentials for U.S. employers
U.S. hiring managers may not recognize ASIC-regulated experience or Australian compliance frameworks. Reframe your credentials around equivalent U.S. standards like SOX, BSA, or FINRA to make your background immediately legible to American compliance teams.
Target industries with high LCA filing volume
Financial services, healthcare, and tech firms file the most Labor Condition Applications for compliance roles. Focusing your search on these sectors gives you a realistic pool of employers already familiar with E-3 visa sponsorship mechanics and DOL wage requirements.
Confirm the role qualifies as a specialty occupation
Not every compliance title clears the specialty occupation bar. Roles requiring a degree in a specific field like accounting, law, or finance qualify. General administrative compliance positions where any bachelor's degree suffices can be harder to support under USCIS standards.
Ask about LCA timelines before accepting an offer
Your employer must file a certified LCA with DOL before you can apply at the consulate. That certification typically takes seven business days. Confirming this step is in motion before your start date prevents avoidable delays at the consulate stage.
Use Migrate Mate's E-3 filing service for the paperwork
Compliance roles often involve tight offer-to-start timelines. Migrate Mate's E-3 filing service handles LCA preparation, visa documentation, and consulate appointment prep so you're not coordinating between your employer's HR team and government portals under deadline pressure.
Find E-3 sponsorship roles through Migrate Mate
Generic job searches surface roles without filtering for visa sponsorship willingness. Migrate Mate surfaces compliance positions where employers have active E-3 and H-1B visa filing history, narrowing your search to employers already set up to sponsor Australian professionals.
E-3 Visa Compliance Specialist: Frequently Asked Questions
How do I find Compliance Specialist jobs that offer E-3 visa sponsorship?
Migrate Mate is built specifically for this search. It filters compliance roles by employers with a demonstrated history of E-3 and work visa sponsorship, so you're not spending time on positions where sponsorship isn't an option. Most standard job searches don't surface that information reliably, which makes employer-level filtering the practical starting point 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.
How does the E-3 visa compare to the H-1B for Compliance Specialist roles?
Both visas cover compliance roles as specialty occupations, but the E-3 is available only to Australian citizens and has no lottery. H-1B selection is capped at 85,000 per year with a randomized lottery, meaning qualified candidates can go unselected. The E-3 processes directly through a U.S. consulate in Australia, and your employer avoids the USCIS petition process entirely, which most compliance hiring managers find significantly simpler.
Does my Australian compliance experience qualify under U.S. specialty occupation standards?
Yes, provided your role required a bachelor's degree in a relevant field such as finance, law, accounting, or business. USCIS looks at whether the specific degree field is normally required for that position, not just any degree. Regulatory experience under ASIC, APRA, or AUSTRAC frameworks maps well to U.S. equivalents, but your job offer letter should clearly state the degree requirement for the role.
Can I switch compliance employers after arriving in the U.S. on an E-3?
Yes, but you'll need a new LCA and a new visa before starting with the new employer. The E-3 is employer-specific, so your current authorization doesn't transfer. If you're already in the U.S., your new employer files a fresh LCA with DOL and you return to Australia for a new consulate appointment, or you may be able to apply at a U.S. consulate in a third country.