Green Card Chief Compliance Officer Jobs
Chief Compliance Officer roles qualify for EB-2 and EB-3 green card sponsorship through the PERM labor certification process, which requires employers to document U.S. recruitment efforts before filing an I-140 petition. Advanced-degree candidates typically qualify under EB-2, while EB-3 covers professionals with a bachelor's degree and relevant experience.
Find Green Card Chief Compliance Officer JobsOverview
Showing 5 of 110+ Chief Compliance Officer jobs
See all 110+ Chief Compliance Officer Jobs
Sign up for free to unlock all listings, filter by visa type, and get alerts for new Chief Compliance Officer roles.
Get Access To All JobsRequisition ID
94100
Department
Corporate Compliance
Job Function
Corporate Compliance
Location
New York, New York, United States
Role Location Designation
Hybrid - 3 days per week
Location Designation: Hybrid - 3 days per week
Role Overview:
This is a high-visibility leadership opportunity to serve as the Deputy Chief Compliance Officer for New York Life’s retail securities subsidiaries: NYLIFE Securities LLC, an introducing broker-dealer, and Eagle Strategies LLC, an SEC-registered investment adviser. Reporting directly to the Chief Compliance Officer of NYLIFE Securities LLC and Eagle Strategies, the Deputy CCO will be entrusted as the CCO’s second-in-command across the compliance program.
The Deputy CCO will lead the core elements of the compliance program, including compliance risk assessments, policy and procedure design, controls testing, supervisory oversight coordination, and the modernization of how compliance is delivered across one of the largest career agency distribution systems in the industry, with over 12,000 insurance agents, 6,500 registered representatives, and 1,700 investment adviser representatives. The successful candidate will be a credible, hands-on leader who can simultaneously direct day-to-day program execution and shape the multi-year strategic agenda for regulatory risk mitigation.
This role is designed for a senior compliance professional ready to step into CCO-adjacent responsibilities, deputize for the CCO before regulators and senior management, and help build the next generation of compliance at New York Life.
Who We Are:
The Corporate Compliance Department at New York Life serves as a strategic second-line-of-defense partner to the businesses we cover. NYLIFE Securities and Eagle Strategies sit at the heart of New York Life’s retail distribution strategy—delivering a broad product platform that includes variable annuities and variable life insurance, mutual funds, alternative investments, 529 plans, managed account programs through our advisory platform, and comprehensive fee-based financial planning—through a nationwide career agency distribution system.
We operate at the leading edge of compliance, with active investments in supervisory technology, surveillance analytics, data and AI-enabled monitoring, and an integrated control environment that spans home office and field. We are a tight, collaborative team of senior practitioners who engage daily with the most consequential regulatory and supervisory questions, and we partner directly with Field Supervision, Suitability, Legal, Risk, Service/Operations teams, and other stakeholders to deliver a unified compliance program.
What You’ll Do:
-
Deputize for the CCO. Serve as the CCO’s principal deputy across NYLIFE Securities and Eagle Strategies—covering for the CCO before regulators, senior management, and external counsel; carrying delegated authority across the compliance program; and helping set strategic direction for a modern and scalable compliance program. Serve as the designated AML compliance officer for NYLIFE Securities and Eagle Strategies.
-
Own the core compliance program. Oversee execution of the foundational compliance activities and reviews that anchor the program, including the anti-money laundering program, FINRA Rule 3120 annual report, the Rule 206(4)-7 annual review for Eagle Strategies, the Code of Ethics, and the firm-wide written supervisory procedures (WSPs).
-
Create and direct a dynamic compliance risk assessment program. Create a compliance risk assessment framework for both entities—including inherent and residual risk scoring, regulatory mapping, control rationalization, and entity-specific versus shared risk categorization—and translate findings into targeted testing, monitoring, and remediation plans.
-
Drive policy, procedure, and control review. Lead the periodic refresh and harmonization of compliance policies, supervisory procedures, and the broader control inventory across the business and the three lines of defense; ensure alignment with FINRA, SEC, MSRB, and state regulatory expectations as well as evolving industry practice.
-
Coordinate with Field Supervision and Suitability. Partner closely with our Field Supervision leadership and the firm’s Suitability organization on compliance oversight of the field force, supervisory escalations, branch inspection design, Reg BI and fiduciary suitability execution, and the supervisory framework supporting our largest producers and complex client situations.
-
Lead the compliance modernization portfolio. Sponsor and coordinate a portfolio of compliance modernization initiatives—covering surveillance technology, AI-enabled monitoring, e-communications review, advertising and marketing review, control automation, and books and records, prioritized through a strategic regulatory risk mitigation lens.
-
Engage regulators and auditors. Serve as a subject matter expert for FINRA cycle exams, SEC examinations, state securities/insurance regulator inquiries. Coordinate with the head of the Regulatory Review Unit on exam readiness, response coordination, and remediation tracking.
-
Advise the business on novel issues. Provide senior compliance guidance on new product introductions, distribution platform changes, field technology modernization, AI governance, and the firm’s response to new and emerging regulatory developments.
-
Develop the team. Lead, mentor, and develop a high-performing compliance team focused on policies and procedures oversight, testing and monitoring, and field review; build bench strength across compliance subject-matter areas; and sustain a culture of integrity, intellectual rigor, and continuous improvement.
What You’ll Bring:
-
10+ years of progressive compliance experience at a retail broker-dealer and SEC-registered investment adviser, with prior service as a CCO, Deputy CCO, or other senior compliance leader strongly preferred.
-
Demonstrated experience supporting a large field distribution system (career agency, independent broker-dealer, wirehouse, or insurance-affiliated platform) with a deep working understanding of branch supervision, registered representative/IAR oversight, and field-home office partnership dynamics.
-
Substantive product knowledge across the retail wealth platform, including variable annuities and variable life insurance, mutual funds, alternative investments, 529 plans, managed account and advisory programs, and fee-based financial planning.
-
Working command of the relevant regulatory frameworks: FINRA rules, SEC Regulation Best Interest, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and applicable state securities regulation.
-
Series 7, 24, and 65/66 (or equivalent) required.
-
Bachelor’s degree preferred; JD is a plus.
-
Track record of leading compliance modernization, technology-enabled supervision, or AI/analytics-driven monitoring programs, with the strategic judgment to sequence and prioritize change in a complex regulated environment.
-
Demonstrated ability to engage credibly with regulators, senior business leaders, and to communicate complex regulatory issues with clarity, conviction, and commercial awareness.
-
Proven leadership and people-development skills, with experience building and leading compliance teams and influencing across the three lines of defense.
-
Exemplary integrity and ethical judgment, sound risk instincts, and a strong drive for continuous learning and professional growth.
Pay Transparency
Salary Range: $160,000-$228,500
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.
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
94100
Department
Corporate Compliance
Job Function
Corporate Compliance
Location
New York, New York, United States
Role Location Designation
Hybrid - 3 days per week
Location Designation: Hybrid - 3 days per week
Role Overview:
This is a high-visibility leadership opportunity to serve as the Deputy Chief Compliance Officer for New York Life’s retail securities subsidiaries: NYLIFE Securities LLC, an introducing broker-dealer, and Eagle Strategies LLC, an SEC-registered investment adviser. Reporting directly to the Chief Compliance Officer of NYLIFE Securities LLC and Eagle Strategies, the Deputy CCO will be entrusted as the CCO’s second-in-command across the compliance program.
The Deputy CCO will lead the core elements of the compliance program, including compliance risk assessments, policy and procedure design, controls testing, supervisory oversight coordination, and the modernization of how compliance is delivered across one of the largest career agency distribution systems in the industry, with over 12,000 insurance agents, 6,500 registered representatives, and 1,700 investment adviser representatives. The successful candidate will be a credible, hands-on leader who can simultaneously direct day-to-day program execution and shape the multi-year strategic agenda for regulatory risk mitigation.
This role is designed for a senior compliance professional ready to step into CCO-adjacent responsibilities, deputize for the CCO before regulators and senior management, and help build the next generation of compliance at New York Life.
Who We Are:
The Corporate Compliance Department at New York Life serves as a strategic second-line-of-defense partner to the businesses we cover. NYLIFE Securities and Eagle Strategies sit at the heart of New York Life’s retail distribution strategy—delivering a broad product platform that includes variable annuities and variable life insurance, mutual funds, alternative investments, 529 plans, managed account programs through our advisory platform, and comprehensive fee-based financial planning—through a nationwide career agency distribution system.
We operate at the leading edge of compliance, with active investments in supervisory technology, surveillance analytics, data and AI-enabled monitoring, and an integrated control environment that spans home office and field. We are a tight, collaborative team of senior practitioners who engage daily with the most consequential regulatory and supervisory questions, and we partner directly with Field Supervision, Suitability, Legal, Risk, Service/Operations teams, and other stakeholders to deliver a unified compliance program.
What You’ll Do:
-
Deputize for the CCO. Serve as the CCO’s principal deputy across NYLIFE Securities and Eagle Strategies—covering for the CCO before regulators, senior management, and external counsel; carrying delegated authority across the compliance program; and helping set strategic direction for a modern and scalable compliance program. Serve as the designated AML compliance officer for NYLIFE Securities and Eagle Strategies.
-
Own the core compliance program. Oversee execution of the foundational compliance activities and reviews that anchor the program, including the anti-money laundering program, FINRA Rule 3120 annual report, the Rule 206(4)-7 annual review for Eagle Strategies, the Code of Ethics, and the firm-wide written supervisory procedures (WSPs).
-
Create and direct a dynamic compliance risk assessment program. Create a compliance risk assessment framework for both entities—including inherent and residual risk scoring, regulatory mapping, control rationalization, and entity-specific versus shared risk categorization—and translate findings into targeted testing, monitoring, and remediation plans.
-
Drive policy, procedure, and control review. Lead the periodic refresh and harmonization of compliance policies, supervisory procedures, and the broader control inventory across the business and the three lines of defense; ensure alignment with FINRA, SEC, MSRB, and state regulatory expectations as well as evolving industry practice.
-
Coordinate with Field Supervision and Suitability. Partner closely with our Field Supervision leadership and the firm’s Suitability organization on compliance oversight of the field force, supervisory escalations, branch inspection design, Reg BI and fiduciary suitability execution, and the supervisory framework supporting our largest producers and complex client situations.
-
Lead the compliance modernization portfolio. Sponsor and coordinate a portfolio of compliance modernization initiatives—covering surveillance technology, AI-enabled monitoring, e-communications review, advertising and marketing review, control automation, and books and records, prioritized through a strategic regulatory risk mitigation lens.
-
Engage regulators and auditors. Serve as a subject matter expert for FINRA cycle exams, SEC examinations, state securities/insurance regulator inquiries. Coordinate with the head of the Regulatory Review Unit on exam readiness, response coordination, and remediation tracking.
-
Advise the business on novel issues. Provide senior compliance guidance on new product introductions, distribution platform changes, field technology modernization, AI governance, and the firm’s response to new and emerging regulatory developments.
-
Develop the team. Lead, mentor, and develop a high-performing compliance team focused on policies and procedures oversight, testing and monitoring, and field review; build bench strength across compliance subject-matter areas; and sustain a culture of integrity, intellectual rigor, and continuous improvement.
What You’ll Bring:
-
10+ years of progressive compliance experience at a retail broker-dealer and SEC-registered investment adviser, with prior service as a CCO, Deputy CCO, or other senior compliance leader strongly preferred.
-
Demonstrated experience supporting a large field distribution system (career agency, independent broker-dealer, wirehouse, or insurance-affiliated platform) with a deep working understanding of branch supervision, registered representative/IAR oversight, and field-home office partnership dynamics.
-
Substantive product knowledge across the retail wealth platform, including variable annuities and variable life insurance, mutual funds, alternative investments, 529 plans, managed account and advisory programs, and fee-based financial planning.
-
Working command of the relevant regulatory frameworks: FINRA rules, SEC Regulation Best Interest, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and applicable state securities regulation.
-
Series 7, 24, and 65/66 (or equivalent) required.
-
Bachelor’s degree preferred; JD is a plus.
-
Track record of leading compliance modernization, technology-enabled supervision, or AI/analytics-driven monitoring programs, with the strategic judgment to sequence and prioritize change in a complex regulated environment.
-
Demonstrated ability to engage credibly with regulators, senior business leaders, and to communicate complex regulatory issues with clarity, conviction, and commercial awareness.
-
Proven leadership and people-development skills, with experience building and leading compliance teams and influencing across the three lines of defense.
-
Exemplary integrity and ethical judgment, sound risk instincts, and a strong drive for continuous learning and professional growth.
Pay Transparency
Salary Range: $160,000-$228,500
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.
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 110+ Green Card Chief Compliance Officer Jobs
Sign up for free to unlock all listings, filter by visa type, and get alerts for new Green Card Chief Compliance Officer Jobs.
Get Access To All JobsTips for Finding Green Card Sponsorship in Chief Compliance Officer
Audit your credentials before applying
CCO roles almost always require a J.D., M.B.A., or advanced compliance credential like a CCEP or CRCM. Confirm your degree equivalency for U.S. PERM purposes before targeting employers, since a credential gap can stall your I-140 petition later.
Target employers with dedicated legal or compliance departments
Publicly traded companies, financial institutions, and healthcare systems file PERM most reliably for CCO-level hires because they have in-house legal counsel to manage the process. Mid-size firms often lack that infrastructure and may offer the role without green card sponsorship.
Find sponsoring employers using Migrate Mate
Search for CCO and senior compliance roles with green card sponsorship history using Migrate Mate. It surfaces employers who have filed for similar positions before, saving you from outreach to companies that haven't sponsored at this seniority level.
Understand the PERM prevailing wage for your target market
The DOL sets a prevailing wage for your specific job duties and location before your employer files PERM. Use the OFLC Wage Search to check the Level III or Level IV wage for compliance officer roles in your target city, so your offer letter won't trigger a PERM rejection.
Negotiate green card sponsorship terms before signing
Ask the employer to include a PERM filing commitment and timeline in your offer letter or employment agreement. Many CCO candidates assume sponsorship is implied; without written terms, employers can delay filing indefinitely after you've already started.
Plan for PERM's supervised recruitment phase
Your employer must run a DOL-required recruitment campaign advertising the CCO role to U.S. workers before PERM is certified. This adds 60 to 90 days to the timeline before the I-140 can even be filed, so build that window into your start-date negotiation.
Green Card Chief Compliance Officer: Frequently Asked Questions
Does a Chief Compliance Officer role qualify for EB-2 or EB-3 green card sponsorship?
CCO positions typically qualify under EB-2 because they require an advanced degree or its equivalent in law, business, or a compliance-related field. If the role requires only a bachelor's degree plus experience, EB-3 applies instead. Your employer's PERM application will specify the minimum requirements, which locks the category, so the job description language matters.
How does the green card process differ from an H-1B for a CCO role?
The H-1B visa is a temporary status with a two- to three-year initial term and annual lottery exposure, while the EB-2 or EB-3 green card leads to permanent residency with no recurring renewals. PERM takes longer upfront, usually 12 to 24 months before an I-140 is even filed, but there's no annual numerical cap at the petition stage for most countries and the outcome is permanent.
How long does the full EB-2 or EB-3 green card process take for a CCO?
From PERM filing to receiving a green card, most cases take two to five years depending on your birth country and whether a priority date backlog applies. PERM certification alone averages 12 to 18 months under current DOL processing times. Indian and Chinese nationals face significantly longer waits due to per-country annual limits on immigrant visa numbers.
How do I find Chief Compliance Officer jobs that include green card sponsorship?
Most standard job boards don't filter by green card sponsorship history, so you can waste months applying to employers who won't file PERM at the CCO level. Migrate Mate is built specifically for this search and surfaces roles with documented sponsorship history, letting you focus outreach on employers who have already sponsored comparable positions.
Can my employer start the PERM process while I'm working in H-1B status?
Yes, and this is the standard approach. You can work on H-1B status while your employer simultaneously pursues PERM and then I-140 approval. Once the I-140 is approved and a visa number is available, you file I-485 for adjustment of status without leaving the U.S. USCIS allows you to extend H-1B status in one-year increments once the I-140 is approved and your priority date is more than 365 days old.