OPT Compliance Analyst Jobs
Compliance Analyst roles sit squarely within specialty occupation territory, making them a strong fit for F-1 OPT students with degrees in finance, law, business, or a related field. Most positions align well with both standard 12-month OPT and the 24-month STEM extension for qualifying degree holders.
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Get Access To All JobsWhere Ambition Meets Innovation:
Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.
Job Overview:
As a Senior Retirement Compliance Analyst, you will play a key role in overseeing our retirement compliance programs, supporting advisors operating in the retirement and ERISA space. This position provides the opportunity to partner across the organization, strengthen compliance oversight, prepare for regulatory examinations, and contribute to the continued evolution of our retirement compliance framework.
Roles & Responsibilities:
- Execute supervision and oversight activities for ERISA-qualified retirement plans and individual retirement programs, with a focus on Retirement Partners Consulting Program
- Review and approve advisor participation in retirement-focused programs
- Support regulatory examinations, audits, and compliance reviews
- Monitor annual compliance questionnaires, attestations, and advisor follow-up requirements
- Partner with internal business teams to understand and enhance processes
- Develop and maintain desktop procedures and compliance documentation
- Collaborate with recordkeeper partners and internal stakeholders to support retirement initiatives
- Communicate effectively with advisors and internal business partners
What are we looking for?
We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.
Requirements
- Bachelor's degree in a related field
- 3+ years of financial services compliance experience
- Experience with retirement plan compliance and ERISA-related requirements
Core Competencies:
- Strong understanding of advisory compliance regulations and fiduciary concepts
- Excellent analytical, organizational, and problem-solving skills
- Strong written and verbal communication abilities
- Ability to manage multiple priorities in a fast-paced environment
- Proficiency with Microsoft Office Suite (Excel, PowerPoint, Word) and SharePoint
- Collaborative mindset and a passion for continuous improvement
Preferred Qualifications
- FINRA Series 66 license, Series 24 license a plus
Pay Range:
$75,293.00 - $125,454.00
Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.
Information on Interviews:
LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.
Where Ambition Meets Innovation:
Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.
Job Overview:
As a Senior Retirement Compliance Analyst, you will play a key role in overseeing our retirement compliance programs, supporting advisors operating in the retirement and ERISA space. This position provides the opportunity to partner across the organization, strengthen compliance oversight, prepare for regulatory examinations, and contribute to the continued evolution of our retirement compliance framework.
Roles & Responsibilities:
- Execute supervision and oversight activities for ERISA-qualified retirement plans and individual retirement programs, with a focus on Retirement Partners Consulting Program
- Review and approve advisor participation in retirement-focused programs
- Support regulatory examinations, audits, and compliance reviews
- Monitor annual compliance questionnaires, attestations, and advisor follow-up requirements
- Partner with internal business teams to understand and enhance processes
- Develop and maintain desktop procedures and compliance documentation
- Collaborate with recordkeeper partners and internal stakeholders to support retirement initiatives
- Communicate effectively with advisors and internal business partners
What are we looking for?
We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.
Requirements
- Bachelor's degree in a related field
- 3+ years of financial services compliance experience
- Experience with retirement plan compliance and ERISA-related requirements
Core Competencies:
- Strong understanding of advisory compliance regulations and fiduciary concepts
- Excellent analytical, organizational, and problem-solving skills
- Strong written and verbal communication abilities
- Ability to manage multiple priorities in a fast-paced environment
- Proficiency with Microsoft Office Suite (Excel, PowerPoint, Word) and SharePoint
- Collaborative mindset and a passion for continuous improvement
Preferred Qualifications
- FINRA Series 66 license, Series 24 license a plus
Pay Range:
$75,293.00 - $125,454.00
Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.
Information on Interviews:
LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.
See all 135+ OPT Compliance Analyst Jobs
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Get Access To All JobsTips for Finding OPT Sponsorship as a Compliance Analyst
Lead with your regulatory coursework
Compliance hiring managers want to see evidence of regulatory knowledge before anything else. Highlight coursework in securities law, risk management, or financial regulation on your resume. Relevant academic background signals you can contribute from day one without extensive training.
Target STEM OPT-eligible roles strategically
Compliance Analyst positions at fintech, banking technology, and data-driven risk firms often fall under CIP codes qualifying for the 24-month STEM extension. Confirm your degree classification with your DSO before applying, since this significantly extends your authorization window and your value to employers.
Frame OPT authorization clearly in applications
State your OPT status and exact authorization end date directly in your cover letter or application. Compliance employers value precision and transparency. Burying your visa situation or waiting until interviews to disclose it creates unnecessary friction and can cost you otherwise strong opportunities.
Pursue compliance certifications proactively
Certifications like CAMS or CRCM demonstrate commitment and reduce perceived training costs for employers hesitant about OPT timelines. Even enrollment in a certification program signals seriousness. Many OPT students overlook this, but it materially improves your candidacy at firms new to sponsoring.
Focus on firms with existing OPT or H-1B history
Banks, insurance companies, and large financial institutions file sponsorship paperwork regularly and have established legal processes. Smaller compliance consultancies may be willing but lack infrastructure. Prioritizing employers with a demonstrated history of sponsoring international candidates reduces the risk of stalled offers late in hiring.
Tailor your resume to specific compliance verticals
Compliance spans AML, KYC, regulatory reporting, trade surveillance, and more. Generalist resumes perform poorly. Identify one or two verticals where your coursework or internship experience is strongest and position yourself as a specialist. Focused candidates are easier for hiring managers to place and advocate for internally.
Compliance Analyst OPT: Frequently Asked Questions
Is Compliance Analyst a qualifying specialty occupation for OPT?
Yes. Compliance Analyst roles typically require at minimum a bachelor's degree in a specific field such as finance, accounting, business administration, or law, which meets the specialty occupation standard. Your degree field should align with the specific compliance function the role covers. A general business degree usually qualifies for broad compliance roles, while AML or securities compliance positions may expect a closer match.
Can I work as a Compliance Analyst on the STEM OPT extension?
It depends on your degree's CIP code classification. Degrees in finance, economics, or management information systems commonly qualify for the 24-month STEM extension. If your undergraduate degree is in accounting or a business analytics concentration, confirm eligibility with your DSO. Employers in fintech and financial services are increasingly familiar with STEM OPT and tend to be receptive to the longer authorization window it provides.
Where can I find Compliance Analyst jobs that sponsor OPT students?
Migrate Mate is built specifically for F-1 OPT students and surfaces Compliance Analyst roles at employers with a track record of sponsoring international candidates. Searching general job boards often surfaces roles where OPT students are screened out early. Using Migrate Mate filters your results to positions where your work authorization is already expected, which saves significant time and reduces application friction during a period when your OPT clock is running.
What compliance verticals are most accessible to OPT students?
AML and KYC compliance roles at banks and fintech companies represent some of the highest-volume hiring areas for OPT students, partly because these functions require analytical skills well developed in academic programs. Regulatory reporting and trade compliance also hire regularly from university pipelines. Roles that require U.S. security clearances or certain government-contractor positions are typically not accessible to OPT students, so it is worth confirming citizenship requirements before applying.
How does the 60-day OPT grace period affect compliance job searches?
If your OPT employment ends before your authorization expires, you have a 60-day grace period to find new employment, but you cannot work during this time. For Compliance Analyst roles, which often have multi-week interview processes involving background checks and legal review, starting your search well before any employment gap is critical. Some compliance positions require employment background checks that take additional time, so factor that into your timeline to avoid authorization gaps.