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 JobsAbout the Company
Gemini is a global crypto and Web3 platform founded by Cameron and Tyler Winklevoss in 2014, offering a wide range of simple, reliable, and secure crypto products and services to individuals and institutions in over 70 countries. Our mission is to unlock the next era of financial, creative, and personal freedom by providing trusted access to the decentralized future. We envision a world where crypto reshapes the global financial system, internet, and money to create greater choice, independence, and opportunity for all — bridging traditional finance with the emerging cryptoeconomy in a way that is more open, fair, and secure. As a publicly traded company, Gemini is poised to accelerate this vision with greater scale, reach, and impact.
The Department: Compliance
The Compliance Team at Gemini is dedicated to managing the next generation of compliance risk in a complex and evolving regulatory environment. We are a diverse group of technology, legal, and operational professionals who develop new approaches to solving classic problems using cutting edge tools and processes.
The Role:
Head of Compliance, Gemini Galactic Markets, LLC
Gemini is seeking a dynamic self-starter to lead our broker dealer and future commission merchant compliance program. This role requires deep expertise across federal securities and commodities regulation, SEC, FINRA, CFTC, and NFA, with hands-on experience building and running compliance programs at a retail-facing brokerage and FCM. The ideal candidate has strong command of supervisory and surveillance operations across listed securities and derivatives, financial and segregation reporting obligations, and familiarity with digital assets. This role will report into Gemini’s Global Chief Compliance Officer. This role is required to be in person twice a week at our New York City, NY office.
Responsibilities:
- Provide compliance advisory and support to the broker-dealer business and oversee the development of the broker-dealer compliance program
- Oversee the FCM compliance program, including the firm's risk management program and annual CCO report
- Oversee daily customer segregation computations and related financial and regulatory filings across both the broker-dealer and FCM
- Supervise trade and market surveillance across the firm's securities and derivatives products
- Serve as the primary point of contact for FINRA, NFA, SEC, and CFTC exams and inquiries
- Maintain the firm's AML program covering both broker-dealer and FCM activities
- Draft, maintain, and implement Written Supervisory Procedures and other internal policies and procedures
- Collaborate cross-functionally with technology, product, and legal teams on trading system operations to ensure compliance with regulation and regulatory expectations
- Advise on core compliance matters including registrations, employee trading, outside business activities, and continuing education requirements
- Review and approve advertising, marketing, and sales materials
Minimum Qualifications:
- BA/BS degree
- Active FINRA Series 7, 63, and 24 licenses; NFA Series 3 (or ability to obtain within 120 days of hire)
- 10+ years of securities and/or commodities regulatory compliance experience
- Deep expertise in broker-dealer and/or FCM operations and the associated regulatory frameworks
- Strong understanding of FINRA, SEC, CFTC, and NFA compliance requirements
- Comfort working in a technology-forward environment
- Superior writing skills, including the ability to analyze and assess large amounts of information into succinct responses
- Authorization to work in the United States and fluency in English
Preferred Qualifications:
- Advanced degree/certifications, e.g. JD, MBA
- Familiarity with virtual currencies, digital transfer platforms, ATS
- Strong cross-functional collaboration skills
- Interest in building the future of compliance and an owner’s mindset to your work
- Experience with surveillance and supervision across securities and derivatives at a multi-registrant firm
It Pays to Work Here
The compensation & benefits package for this role includes:
- Competitive starting pay
- A discretionary annual bonus
- Long-term incentive in the form of a new hire equity grant
- Comprehensive health plans
- 401K with company matching
- Paid Parental Leave
- Flexible time off
Salary Range:
The base salary range for this role is between $150,500 - $279,500 in the State of New York, the State of California and the State of Washington. This range is not inclusive of our discretionary bonus or equity package. When determining a candidate’s compensation, we consider a number of factors including skillset, experience, job scope, and current market data.
In the United States, we offer a hybrid work approach at our hub offices, balancing the benefits of in-person collaboration with the flexibility of remote work. Expectations may vary by location and role, so candidates are encouraged to connect with their recruiter to learn more about the specific policy for the role. Employees who do not live near one of our hubs are part of our remote workforce.
At Gemini, we strive to build diverse teams that reflect the people we want to empower through our products, and we are committed to equal employment opportunity regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability, gender identity, or Veteran status. Equal Opportunity is the Law, and Gemini is proud to be an equal opportunity workplace. If you have a specific need that requires accommodation, please let a member of the People Team know.
About the Company
Gemini is a global crypto and Web3 platform founded by Cameron and Tyler Winklevoss in 2014, offering a wide range of simple, reliable, and secure crypto products and services to individuals and institutions in over 70 countries. Our mission is to unlock the next era of financial, creative, and personal freedom by providing trusted access to the decentralized future. We envision a world where crypto reshapes the global financial system, internet, and money to create greater choice, independence, and opportunity for all — bridging traditional finance with the emerging cryptoeconomy in a way that is more open, fair, and secure. As a publicly traded company, Gemini is poised to accelerate this vision with greater scale, reach, and impact.
The Department: Compliance
The Compliance Team at Gemini is dedicated to managing the next generation of compliance risk in a complex and evolving regulatory environment. We are a diverse group of technology, legal, and operational professionals who develop new approaches to solving classic problems using cutting edge tools and processes.
The Role:
Head of Compliance, Gemini Galactic Markets, LLC
Gemini is seeking a dynamic self-starter to lead our broker dealer and future commission merchant compliance program. This role requires deep expertise across federal securities and commodities regulation, SEC, FINRA, CFTC, and NFA, with hands-on experience building and running compliance programs at a retail-facing brokerage and FCM. The ideal candidate has strong command of supervisory and surveillance operations across listed securities and derivatives, financial and segregation reporting obligations, and familiarity with digital assets. This role will report into Gemini’s Global Chief Compliance Officer. This role is required to be in person twice a week at our New York City, NY office.
Responsibilities:
- Provide compliance advisory and support to the broker-dealer business and oversee the development of the broker-dealer compliance program
- Oversee the FCM compliance program, including the firm's risk management program and annual CCO report
- Oversee daily customer segregation computations and related financial and regulatory filings across both the broker-dealer and FCM
- Supervise trade and market surveillance across the firm's securities and derivatives products
- Serve as the primary point of contact for FINRA, NFA, SEC, and CFTC exams and inquiries
- Maintain the firm's AML program covering both broker-dealer and FCM activities
- Draft, maintain, and implement Written Supervisory Procedures and other internal policies and procedures
- Collaborate cross-functionally with technology, product, and legal teams on trading system operations to ensure compliance with regulation and regulatory expectations
- Advise on core compliance matters including registrations, employee trading, outside business activities, and continuing education requirements
- Review and approve advertising, marketing, and sales materials
Minimum Qualifications:
- BA/BS degree
- Active FINRA Series 7, 63, and 24 licenses; NFA Series 3 (or ability to obtain within 120 days of hire)
- 10+ years of securities and/or commodities regulatory compliance experience
- Deep expertise in broker-dealer and/or FCM operations and the associated regulatory frameworks
- Strong understanding of FINRA, SEC, CFTC, and NFA compliance requirements
- Comfort working in a technology-forward environment
- Superior writing skills, including the ability to analyze and assess large amounts of information into succinct responses
- Authorization to work in the United States and fluency in English
Preferred Qualifications:
- Advanced degree/certifications, e.g. JD, MBA
- Familiarity with virtual currencies, digital transfer platforms, ATS
- Strong cross-functional collaboration skills
- Interest in building the future of compliance and an owner’s mindset to your work
- Experience with surveillance and supervision across securities and derivatives at a multi-registrant firm
It Pays to Work Here
The compensation & benefits package for this role includes:
- Competitive starting pay
- A discretionary annual bonus
- Long-term incentive in the form of a new hire equity grant
- Comprehensive health plans
- 401K with company matching
- Paid Parental Leave
- Flexible time off
Salary Range:
The base salary range for this role is between $150,500 - $279,500 in the State of New York, the State of California and the State of Washington. This range is not inclusive of our discretionary bonus or equity package. When determining a candidate’s compensation, we consider a number of factors including skillset, experience, job scope, and current market data.
In the United States, we offer a hybrid work approach at our hub offices, balancing the benefits of in-person collaboration with the flexibility of remote work. Expectations may vary by location and role, so candidates are encouraged to connect with their recruiter to learn more about the specific policy for the role. Employees who do not live near one of our hubs are part of our remote workforce.
At Gemini, we strive to build diverse teams that reflect the people we want to empower through our products, and we are committed to equal employment opportunity regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability, gender identity, or Veteran status. Equal Opportunity is the Law, and Gemini is proud to be an equal opportunity workplace. If you have a specific need that requires accommodation, please let a member of the People Team know.
See all 178+ 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.