H-1B Visa Chief Compliance Officer Jobs
Chief Compliance Officer roles qualify as H-1B visa specialty occupations under the managerial and legal oversight SOC codes. Employers in financial services, healthcare, and tech routinely sponsor H-1B petitions for CCOs, and the annual 85,000-cap applies unless your employer holds cap-exempt status.
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Get Access To All JobsWho are we?
FalconX is a pioneering team of operators, investors, and builders committed to revolutionizing institutional access to the crypto markets. Operating at the intersection of traditional finance and cutting-edge technology, FalconX addresses the industry's foremost challenges: Navigating the digital asset market can be complex and fragmented, with limited products and services that support trading strategies, structures, and liquidity found in conventional financial markets. As a comprehensive solution for all digital asset strategies from start to scale, FalconX operates as the connective tissue empowering clients with seamless navigation through the ever-evolving cryptocurrency landscape.
Location: Hybrid-Based (New York City, NY or San Mateo, CA)
Chief Compliance Officer, U.S. Swap Dealer
FalconX is the most advanced digital asset platform for institutions. We provide trade execution, credit & treasury management, prime offering and market making services. Given our global operations, industry-leading technology and deep liquidity, we have facilitated client transactions of $1 trillion in volume. Our products & services are regulated, compliant and trusted.
We are a team of financial professionals focused on capital markets comprised of compliance, institutional sales and trading leaders, operations experts, business strategists, engineers, and product builders. We prioritize learning. Outcomes are mission-critical, but we also believe that learning in success and in failure will drive our continued success. Our industry is emergent - there's no shortage of experiments to get involved with and to continue growing and learning together.
Impact
FalconX Bravo, Inc. is a registered Swap Dealer. We are seeking an experienced Chief Compliance Officer for our registered Swap Dealer. This person will advise internal stakeholders on implementation and development of CFTC, and NFA swap dealer requirements, including day-to-day oversight and program enhancements relating to policies and procedures, employee training, risk assessments, issues management, governance and management reporting, and metrics.
Our department prevents, detects and mitigates compliance and regulatory risks across the firm and helps to strengthen our culture of compliance. As a company involved in digital assets, this role will also be relied on for training and knowledge sharing. The team monitors existing and new rules and regulations; designs and implements controls, policies, procedures and training to all colleagues. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory digital asset landscape.
Qualifications
- A minimum of 10+ years of legal or compliance experience/background preferably with investment or commercial bank, law firm, consulting firm or regulatory organization.
- Demonstrated experience with the implementation and execution of swap dealer compliance program at a registered swap dealer.
- Demonstrated understanding of the requirements of the Dodd-Frank Act and associated regulations relating to swap dealers, including applicable CFTC, NFA and FRB rules and regulations.
- Experience interacting with regulators, in particular, CFTC, NFA, and FRB.
- Experience reporting to senior management.
- Experience managing teams across geographical regions.
- Familiarity with sales and trading of over-the-counter derivatives, with particular focus on foreign exchange and interest rate derivatives.
- Outstanding written (drafting & editing) and spoken communication abilities.
- Excellent teamwork, interpersonal and conflict resolution skills.
- Highly organized and capable of dealing with multiple, complex projects simultaneously.
Responsibilities:
- Advise and implement enhancements to the overall Swap Dealer Compliance Program, including oversight of policies and procedures.
- Respond to regulatory inquiries, audits, examinations and investigations, and liaison with the CFTC and NFA.
- Manage and report on any incidents of non compliance, maintaining a non compliance issue log and monitor remediation of open items, reporting to the CCO on a regular basis.
- Manage and resolve any conflicts of interest that may arise by determining reasonable steps that should be taken to resolve or mitigate the conflict of interest.
- Provide reporting to management and Board of Directors. Escalate reporting when relevant.
- Developing and conducting periodic testing to monitor whether internal controls are operating effectively and in compliance with the swap dealer requirements.
- Develop swap dealer compliance training to all relevant personnel including swap associated persons, compliance team and other relevant groups.
Education & Additional Experience:
- Bachelor's degree or equivalent experience required; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or consulting firm, or a combination thereof.
- Experience in area of focus; strong working knowledge of Swap Dealers and the related operations and financial requirements.
- Strong willingness to train and provide proactive guidance to colleagues on Swap Dealer requirements and impact of regulatory compliance.
- Preparing or contributing annual compliance reports and other compliance materials for executive management, boards of directors and regulators.
Compensation:
This is a full-time position with an expected annual compensation of $191,000 - 252,000 in the New York City Metro area. The actual compensation for a successful candidate may vary based on factors such as skill set, relevant experience, qualifications, and other relevant factors. This position also offers other forms of compensation and benefits consisting of overtime compensation (when applicable), relocation assistance (if applicable), performance-linked bonus, paid time off (including sick time) benefits, paid Company holidays, participation in the Company's equity and 401k retirement plan, competitive employee health, dental, and vision benefits each subject to the terms and conditions of the governing plan documents and Company policies.
Notice at Collection and Privacy Policy
Applicants located in California and/or applying to a role based in California, please refer to our Notice at Collection and Privacy Policy here.
Inclusivity Statement
FalconX is committed to building a diverse, inclusive, equitable, and safe workspace for all people. Our roles are intended for people from all walks of life. We encourage all those interested in applying to our organization to submit an application regardless if you are missing some of the listed background requirements, skills, or experiences!
As part of our commitment to inclusivity, FalconX would like to acknowledge that the EEOC survey has limited potential responses that you can select. For legal reasons, FalconX must use this language to align with federal requirements, however, we want to ensure that you are able to provide a response to our own voluntary survey questions about your identity that best aligns with your most true self.
FalconX is an equal opportunity employer and will not discriminate against an applicant or employee based on race, color, religion, national origin, ancestry, ethnicity, sex (including gender, pregnancy, sexual orientation, and gender identity), age, physical or mental disability, veteran or military status, genetic information, citizenship, or any other legally-recognized protected basis under federal, state, or local law.
Applicants with disabilities may be entitled to reasonable accommodation under the Americans with Disabilities Act and other applicable state or local laws. A reasonable accommodation is a change in the way things are normally done which will ensure an equal employment opportunity without imposing undue hardship on FalconX. Please inform FalconX's People team at recruiting@falconx.io, if you need assistance with participating in the application process.
Who are we?
FalconX is a pioneering team of operators, investors, and builders committed to revolutionizing institutional access to the crypto markets. Operating at the intersection of traditional finance and cutting-edge technology, FalconX addresses the industry's foremost challenges: Navigating the digital asset market can be complex and fragmented, with limited products and services that support trading strategies, structures, and liquidity found in conventional financial markets. As a comprehensive solution for all digital asset strategies from start to scale, FalconX operates as the connective tissue empowering clients with seamless navigation through the ever-evolving cryptocurrency landscape.
Location: Hybrid-Based (New York City, NY or San Mateo, CA)
Chief Compliance Officer, U.S. Swap Dealer
FalconX is the most advanced digital asset platform for institutions. We provide trade execution, credit & treasury management, prime offering and market making services. Given our global operations, industry-leading technology and deep liquidity, we have facilitated client transactions of $1 trillion in volume. Our products & services are regulated, compliant and trusted.
We are a team of financial professionals focused on capital markets comprised of compliance, institutional sales and trading leaders, operations experts, business strategists, engineers, and product builders. We prioritize learning. Outcomes are mission-critical, but we also believe that learning in success and in failure will drive our continued success. Our industry is emergent - there's no shortage of experiments to get involved with and to continue growing and learning together.
Impact
FalconX Bravo, Inc. is a registered Swap Dealer. We are seeking an experienced Chief Compliance Officer for our registered Swap Dealer. This person will advise internal stakeholders on implementation and development of CFTC, and NFA swap dealer requirements, including day-to-day oversight and program enhancements relating to policies and procedures, employee training, risk assessments, issues management, governance and management reporting, and metrics.
Our department prevents, detects and mitigates compliance and regulatory risks across the firm and helps to strengthen our culture of compliance. As a company involved in digital assets, this role will also be relied on for training and knowledge sharing. The team monitors existing and new rules and regulations; designs and implements controls, policies, procedures and training to all colleagues. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory digital asset landscape.
Qualifications
- A minimum of 10+ years of legal or compliance experience/background preferably with investment or commercial bank, law firm, consulting firm or regulatory organization.
- Demonstrated experience with the implementation and execution of swap dealer compliance program at a registered swap dealer.
- Demonstrated understanding of the requirements of the Dodd-Frank Act and associated regulations relating to swap dealers, including applicable CFTC, NFA and FRB rules and regulations.
- Experience interacting with regulators, in particular, CFTC, NFA, and FRB.
- Experience reporting to senior management.
- Experience managing teams across geographical regions.
- Familiarity with sales and trading of over-the-counter derivatives, with particular focus on foreign exchange and interest rate derivatives.
- Outstanding written (drafting & editing) and spoken communication abilities.
- Excellent teamwork, interpersonal and conflict resolution skills.
- Highly organized and capable of dealing with multiple, complex projects simultaneously.
Responsibilities:
- Advise and implement enhancements to the overall Swap Dealer Compliance Program, including oversight of policies and procedures.
- Respond to regulatory inquiries, audits, examinations and investigations, and liaison with the CFTC and NFA.
- Manage and report on any incidents of non compliance, maintaining a non compliance issue log and monitor remediation of open items, reporting to the CCO on a regular basis.
- Manage and resolve any conflicts of interest that may arise by determining reasonable steps that should be taken to resolve or mitigate the conflict of interest.
- Provide reporting to management and Board of Directors. Escalate reporting when relevant.
- Developing and conducting periodic testing to monitor whether internal controls are operating effectively and in compliance with the swap dealer requirements.
- Develop swap dealer compliance training to all relevant personnel including swap associated persons, compliance team and other relevant groups.
Education & Additional Experience:
- Bachelor's degree or equivalent experience required; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or consulting firm, or a combination thereof.
- Experience in area of focus; strong working knowledge of Swap Dealers and the related operations and financial requirements.
- Strong willingness to train and provide proactive guidance to colleagues on Swap Dealer requirements and impact of regulatory compliance.
- Preparing or contributing annual compliance reports and other compliance materials for executive management, boards of directors and regulators.
Compensation:
This is a full-time position with an expected annual compensation of $191,000 - 252,000 in the New York City Metro area. The actual compensation for a successful candidate may vary based on factors such as skill set, relevant experience, qualifications, and other relevant factors. This position also offers other forms of compensation and benefits consisting of overtime compensation (when applicable), relocation assistance (if applicable), performance-linked bonus, paid time off (including sick time) benefits, paid Company holidays, participation in the Company's equity and 401k retirement plan, competitive employee health, dental, and vision benefits each subject to the terms and conditions of the governing plan documents and Company policies.
Notice at Collection and Privacy Policy
Applicants located in California and/or applying to a role based in California, please refer to our Notice at Collection and Privacy Policy here.
Inclusivity Statement
FalconX is committed to building a diverse, inclusive, equitable, and safe workspace for all people. Our roles are intended for people from all walks of life. We encourage all those interested in applying to our organization to submit an application regardless if you are missing some of the listed background requirements, skills, or experiences!
As part of our commitment to inclusivity, FalconX would like to acknowledge that the EEOC survey has limited potential responses that you can select. For legal reasons, FalconX must use this language to align with federal requirements, however, we want to ensure that you are able to provide a response to our own voluntary survey questions about your identity that best aligns with your most true self.
FalconX is an equal opportunity employer and will not discriminate against an applicant or employee based on race, color, religion, national origin, ancestry, ethnicity, sex (including gender, pregnancy, sexual orientation, and gender identity), age, physical or mental disability, veteran or military status, genetic information, citizenship, or any other legally-recognized protected basis under federal, state, or local law.
Applicants with disabilities may be entitled to reasonable accommodation under the Americans with Disabilities Act and other applicable state or local laws. A reasonable accommodation is a change in the way things are normally done which will ensure an equal employment opportunity without imposing undue hardship on FalconX. Please inform FalconX's People team at recruiting@falconx.io, if you need assistance with participating in the application process.
See all 31+ H-1B Visa Chief Compliance Officer Jobs
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Get Access To All JobsTips for Finding H-1B Visa Sponsorship in Chief Compliance Officer
Align your credentials to specialty occupation
USCIS requires a direct connection between your degree field and the CCO role. A law degree, MBA, or bachelor's in finance or regulatory affairs strengthens that nexus. Gaps between your degree and compliance work can trigger an RFE.
Target cap-exempt employers first
Universities, nonprofit research institutions, and government-affiliated entities are exempt from the 85,000 annual H-1B cap. CCO roles exist at hospital systems, university endowments, and federally funded research organizations where you can file year-round without lottery risk.
Search verified sponsors on Migrate Mate
Use Migrate Mate to filter CCO and compliance leadership roles by employers with confirmed H-1B LCA filing history. That filing record tells you the employer has run the DOL prevailing-wage process before, which matters for roles at this seniority level.
Verify prevailing wage before negotiating
Run the SOC code for Chief Compliance Officer through the OFLC Wage Search before any offer discussion. Your H-1B petition requires the employer to certify a wage at or above the prevailing level, and knowing Level III or IV thresholds gives you a grounded starting point.
Disclose your status early in senior-level interviews
CCO hiring processes involve legal, HR, and board-level approvals that take longer than standard offers. Disclosing your H-1B status before final-round interviews lets the employer's immigration counsel begin LCA preparation in parallel, avoiding a gap between offer acceptance and filing.
Confirm the employer's E-Verify enrollment before accepting
H-1B employers are federally required to be E-Verify participants. For a CCO specifically, an employer not enrolled in E-Verify is also a compliance red flag about the organization's broader regulatory posture, not just your sponsorship timeline.
H-1B Visa Chief Compliance Officer: Frequently Asked Questions
Does a Chief Compliance Officer role qualify as an H-1B specialty occupation?
Yes. USCIS classifies CCO positions as specialty occupations when the role requires at least a bachelor's degree in a specific field such as law, finance, accounting, or business administration. The key is that the employer's job description must specify a degree requirement tied directly to the compliance function, not just a general preference for any bachelor's degree.
Which industries sponsor H-1B visas most often for compliance leadership roles?
Financial services, healthcare, pharmaceuticals, and technology companies file the most H-1B Labor Condition Applications for compliance and regulatory affairs positions. These sectors operate under dense regulatory frameworks, including SEC, OCC, FDA, and HIPAA oversight, which creates sustained demand for credentialed compliance professionals who require sponsorship. You can browse active sponsors by industry on Migrate Mate.
How does the H-1B prevailing wage requirement apply to a CCO position?
The DOL requires your employer to pay you the prevailing wage for the CCO occupation in the specific metropolitan area where you'll work. The employer certifies this through the LCA before USCIS ever sees your petition. Prevailing wages are tiered from Level I to Level IV, and senior compliance roles typically fall at Level III or IV. You can look up applicable figures using the OFLC Wage Search.
Can a CCO on H-1B status move to a new employer mid-petition?
Yes, through H-1B portability under AC21. If your I-129 petition has been pending for at least 180 days and the new CCO role is in the same or a similar occupational classification, you can start with the new employer immediately upon filing a transfer petition. Your new employer must file before you change roles, and the new LCA must reflect the updated prevailing wage.
What documentation should I prepare before approaching employers about H-1B sponsorship for a CCO role?
Assemble your degree transcripts, professional certifications such as CRCM, CAMS, or CHC, and a credential evaluation if your degree is from outside the U.S. For CCO roles, employers and their immigration counsel will scrutinize whether your educational background directly supports regulatory or compliance oversight. Having an O*NET occupation profile printout for the CCO SOC code can also help frame the specialty occupation argument during the LCA and petition stages.