H-1B Visa Head Of Compliance Jobs
Head of Compliance roles qualify as H-1B visa specialty occupations because they require at least a bachelor's degree in law, finance, or a related field. Employers in financial services, healthcare, and tech regularly sponsor H-1B petitions for this title, and the role's regulatory oversight responsibilities support a strong specialty occupation argument with USCIS.
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Get Access To All JobsJob Title: Head of FIC Compliance, Americas
Corporate Title: Director
Location: New York, NY
Overview
As the Head of Fixed Income & Currencies (FIC) Compliance, Americas, you will lead a team of business line Compliance officers providing real-time support and challenge to the FIC businesses within the Investment Bank (IB). The role will involve advising on issues (questions, proposals, or exceptions) related to the structuring, lending, sales and trading activities, surveillance and monitoring of controls, supervision, and other issues that are typical for a large global investment bank as well as challenging the Business on their controls and processes. You will lead a team providing real-time advisory services to the FIC businesses; identify regulatory trends and developments that impact business areas and advise staff and business leadership as to how this may impact their current or proposed activities.
What We Offer You
- A diverse and inclusive environment that embraces change, innovation, and collaboration
- A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days
- Employee Resource Groups support an inclusive workplace for everyone and promote community engagement
- Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits
- Educational resources, matching gift and volunteer programs
What You’ll Do
- Advise business areas on Firm policies and procedures and applicable securities laws and regulations; draft, update, and implement relevant policies and procedures
- Provide regulatory/compliance training; assist the Business in implementing and documenting various supervisory/control mechanisms
- Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections; interact with federal and state regulators
- Conduct risk assessments of the Business to ensure effective business control framework, challenge business Risk and Control Self Assessments and work collaboratively with Compliance colleagues who perform testing and monitoring of compliance with Firm policies
- Support the global compliance monitoring program by providing input on the framework documents and completing verification checks as outlined the annual monitoring plan
How You’ll Lead
- Lead and develop a team of business line Compliance officers
- Member of the Investment Bank Compliance, Americas, management team and compliance representative to controls governance forums
- Manage relationships with senior leadership within the FIC businesses, Control functions in the first line of defense, infrastructure partners and with control partners in the second line of defense
Skills You’ll Need
- Strong securities, derivatives and lending experience, preferably in a global investment bank or law firm
- Significant experience with fixed income (including structured credit/finance) products, but at a minimum experience in advising for multiple FIC business activity with prior management experience
- Bachelor’s degree or equivalent; JD or MBA a plus
- Functional knowledge of the US fixed income and derivative trading regulatory framework, the ’33 Act and the ’34 Act, Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), broker dealer regulations, general knowledge of swap dealer and security-based swap dealer rules and other relevant bank regulations; knowledge of SEC, CFTC and FINRA laws, rules, and regulations as well as industry best practice
- Relevant experience providing compliance or legal coverage to sales or trading, lending and/or structuring business at a broker/dealer, swap dealer, or security based swap dealer
- Proven ability to leverage AI tools to enhance productivity, optimize workflows to solve business problems, while applying critical judgment to ensure responsible and ethical use of data and AI outputs
Skills That Will Help You Excel
- Excellent communication skills, both written and spoken
- Ability to make, support, and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressured environment
- Ability to project confidence and professionalism in dealings with senior business personnel
- Ability to lead teams, work collaboratively, and develop junior staff
Expectations
It is the Bank’s expectation that employees hired into this role will work in the New York office in accordance with the Bank’s hybrid working model.
Deutsche Bank provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion.
The salary range for this position in New York City is $170,000 to $308,000. Actual salaries may be based on a number of factors including, but not limited to, a candidate’s skill set, experience, education, work location and other qualifications. Posted salary ranges do not include incentive compensation or any other type of remuneration.
Deutsche Bank Benefits
At Deutsche Bank, we recognize that our benefit programs have a profound impact on our colleagues. That’s why we are focused on providing benefits and perks that enable our colleagues to live authentically and be their whole selves, at every stage of life. We provide access to physical, emotional, and financial wellness benefits that allow our colleagues to stay financially secure and strike balance between work and home.
Learn more about your life at Deutsche Bank through the eyes of our current employees.
The California Consumer Privacy Act outlines how companies can use personal information. If you are interested in receiving a copy of Deutsche Bank’s California Privacy Notice please email HR.Direct@DB.com.
#LI-HYBRID
#LI-ONSITE
We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively.
Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group.
We welcome applications from all people and promote a positive, fair and inclusive work environment.
Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, protected veteran status or other characteristics protected by law. Click these links to view Deutsche Bank’s Equal Opportunity Policy Statement and the following notices: EEOC Know Your Rights; Employee Rights and Responsibilities under the Family and Medical Leave Act; and Employee Polygraph Protection Act.
Job Title: Head of FIC Compliance, Americas
Corporate Title: Director
Location: New York, NY
Overview
As the Head of Fixed Income & Currencies (FIC) Compliance, Americas, you will lead a team of business line Compliance officers providing real-time support and challenge to the FIC businesses within the Investment Bank (IB). The role will involve advising on issues (questions, proposals, or exceptions) related to the structuring, lending, sales and trading activities, surveillance and monitoring of controls, supervision, and other issues that are typical for a large global investment bank as well as challenging the Business on their controls and processes. You will lead a team providing real-time advisory services to the FIC businesses; identify regulatory trends and developments that impact business areas and advise staff and business leadership as to how this may impact their current or proposed activities.
What We Offer You
- A diverse and inclusive environment that embraces change, innovation, and collaboration
- A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days
- Employee Resource Groups support an inclusive workplace for everyone and promote community engagement
- Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits
- Educational resources, matching gift and volunteer programs
What You’ll Do
- Advise business areas on Firm policies and procedures and applicable securities laws and regulations; draft, update, and implement relevant policies and procedures
- Provide regulatory/compliance training; assist the Business in implementing and documenting various supervisory/control mechanisms
- Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections; interact with federal and state regulators
- Conduct risk assessments of the Business to ensure effective business control framework, challenge business Risk and Control Self Assessments and work collaboratively with Compliance colleagues who perform testing and monitoring of compliance with Firm policies
- Support the global compliance monitoring program by providing input on the framework documents and completing verification checks as outlined the annual monitoring plan
How You’ll Lead
- Lead and develop a team of business line Compliance officers
- Member of the Investment Bank Compliance, Americas, management team and compliance representative to controls governance forums
- Manage relationships with senior leadership within the FIC businesses, Control functions in the first line of defense, infrastructure partners and with control partners in the second line of defense
Skills You’ll Need
- Strong securities, derivatives and lending experience, preferably in a global investment bank or law firm
- Significant experience with fixed income (including structured credit/finance) products, but at a minimum experience in advising for multiple FIC business activity with prior management experience
- Bachelor’s degree or equivalent; JD or MBA a plus
- Functional knowledge of the US fixed income and derivative trading regulatory framework, the ’33 Act and the ’34 Act, Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), broker dealer regulations, general knowledge of swap dealer and security-based swap dealer rules and other relevant bank regulations; knowledge of SEC, CFTC and FINRA laws, rules, and regulations as well as industry best practice
- Relevant experience providing compliance or legal coverage to sales or trading, lending and/or structuring business at a broker/dealer, swap dealer, or security based swap dealer
- Proven ability to leverage AI tools to enhance productivity, optimize workflows to solve business problems, while applying critical judgment to ensure responsible and ethical use of data and AI outputs
Skills That Will Help You Excel
- Excellent communication skills, both written and spoken
- Ability to make, support, and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressured environment
- Ability to project confidence and professionalism in dealings with senior business personnel
- Ability to lead teams, work collaboratively, and develop junior staff
Expectations
It is the Bank’s expectation that employees hired into this role will work in the New York office in accordance with the Bank’s hybrid working model.
Deutsche Bank provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion.
The salary range for this position in New York City is $170,000 to $308,000. Actual salaries may be based on a number of factors including, but not limited to, a candidate’s skill set, experience, education, work location and other qualifications. Posted salary ranges do not include incentive compensation or any other type of remuneration.
Deutsche Bank Benefits
At Deutsche Bank, we recognize that our benefit programs have a profound impact on our colleagues. That’s why we are focused on providing benefits and perks that enable our colleagues to live authentically and be their whole selves, at every stage of life. We provide access to physical, emotional, and financial wellness benefits that allow our colleagues to stay financially secure and strike balance between work and home.
Learn more about your life at Deutsche Bank through the eyes of our current employees.
The California Consumer Privacy Act outlines how companies can use personal information. If you are interested in receiving a copy of Deutsche Bank’s California Privacy Notice please email HR.Direct@DB.com.
#LI-HYBRID
#LI-ONSITE
We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively.
Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group.
We welcome applications from all people and promote a positive, fair and inclusive work environment.
Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, protected veteran status or other characteristics protected by law. Click these links to view Deutsche Bank’s Equal Opportunity Policy Statement and the following notices: EEOC Know Your Rights; Employee Rights and Responsibilities under the Family and Medical Leave Act; and Employee Polygraph Protection Act.
See all H-1B Visa Head Of Compliance Jobs
Sign up for free to unlock all listings, filter by visa type, and get alerts for new H-1B Visa Head Of Compliance Jobs.
Get Access To All JobsTips for Finding H-1B Visa Sponsorship in Head Of Compliance
Document your regulatory credentials before applying
Gather your CAMS, CCEP, or equivalent certifications alongside your degree transcripts. USCIS scrutinizes specialty occupation evidence for compliance roles, so a credential portfolio that maps each qualification to your job duties strengthens the petition significantly.
Target industries with active LCA filing histories
Financial services, healthcare, and fintech firms file Labor Condition Applications for compliance leadership far more frequently than other sectors. Use Migrate Mate to filter Head of Compliance openings by employers with verified H-1B filing records in those industries.
Verify prevailing wage before evaluating offers
Your employer's LCA must certify a wage at or above the DOL prevailing wage for your geographic area and job level. Run the OFLC Wage Search before accepting an offer to confirm the proposed salary meets Level III or IV thresholds for compliance directors.
Ask about cap-exempt status during employer outreach
Universities, nonprofits affiliated with higher education, and certain research institutions are cap-exempt, meaning your petition bypasses the annual H-1B lottery entirely. Compliance roles at hospital systems or academic medical centers often fall under this exemption.
Align your job description to the O*NET occupation profile
USCIS uses O*NET occupation data when evaluating specialty occupation claims. Request that your employer's attorney cross-reference your offer letter duties against the O*NET profile for Compliance Managers to close any gaps before the I-129 is filed.
Use the 60-day grace period strategically between roles
If you're transitioning out of a compliance position, you have 60 days after your employment ends to secure a new H-1B transfer. Prioritize employers who can file an H-1B transfer petition quickly so your work authorization remains uninterrupted.
H-1B Visa Head Of Compliance: Frequently Asked Questions
Does a Head of Compliance role qualify as an H-1B specialty occupation?
Yes. USCIS classifies Head of Compliance as a specialty occupation because the role requires a bachelor's degree or higher in a specific field such as law, finance, accounting, or business administration. Employers strengthen the petition by documenting how the compliance function demands theoretical and practical application of that specialized knowledge, not just general business judgment.
Which employers sponsor H-1B visas for Head of Compliance positions?
Banks, insurance carriers, fintech companies, hospital systems, and pharmaceutical firms are the most consistent H-1B sponsors for compliance leadership. These industries face dense regulatory frameworks that require credentialed specialists, making sponsorship a practical necessity rather than a favor. Migrate Mate filters Head of Compliance openings by verified employer H-1B filing history so you can focus your search on confirmed sponsors.
How does the DOL prevailing wage requirement affect Head of Compliance job offers?
Your employer must file an LCA certifying that your offered wage meets or exceeds the DOL prevailing wage for your specific location and experience level. For senior compliance roles, this typically corresponds to a Level III or Level IV wage on the OFLC Wage Search. If the offer falls below the certified wage, USCIS can deny the petition, so verifying the wage tier before negotiating is critical.
Can I transfer my H-1B to a new employer if I change compliance roles?
Yes. Under H-1B portability rules, you can start working for a new employer as soon as they file an H-1B transfer petition on your behalf, without waiting for USCIS to approve it, as long as your previous H-1B was approved and you've maintained valid status. The 60-day grace period after leaving your prior employer gives you a window to secure the transfer filing.
Does holding a JD or advanced compliance certification improve my H-1B petition for this role?
It does. A JD or professional certification such as a CAMS or CCEP reinforces the specialty occupation argument by demonstrating that the role requires specialized legal or regulatory knowledge beyond a general business degree. USCIS officers are more likely to challenge compliance petitions backed only by a broad undergraduate degree, so documenting credentials that map directly to the job duties reduces RFE risk.