TN Visa Compliance Associate Jobs
Compliance Associate roles qualify for TN visa sponsorship under the USMCA treaty as Accountants or Management Consultants, depending on your specific duties. Canadian professionals can apply at any port of entry without a cap. Mexican nationals require consular processing. A relevant bachelor's degree and a U.S. job offer are required.
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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:
The Program Compliance Associate Analyst will support several functions within Program Compliance, including both the Compliance Education & Training and Senior Investor Protection teams. The Senior Investor Protection (SIP) team ensures that LPL complies with FINRA rules as well as regulations set forth by state and federal law relating to monitoring, identifying, investigating, and reporting diminished capacity and elder financial exploitation concerns as it relates to senior investors and vulnerable adults. The Compliance Education & Training team supports all Firm Element training, as well as mandatory Compliance training throughout the year.
This analyst will be responsible for assisting with reporting, data gathering, incoming case entry and review, interacting with advisors to gather additional information for both Senior Investor and CET requests, and general team support.
Responsibilities:
- Monitor and support the department group mailbox (SIP and CET), manage new case intake, including review for completeness and entry into Mantas
- Respond to advisors with additional state specific information, general information requests
- Assist management with any ad hoc projects or initiatives including but not limited to general QC of offshore team, QC of completed SIP team cases, decks or report pulls for CET
- Provide clear and effective communication with financial advisors, relationship managers, branch associates and others as needed
- Support relationships building with internal business partners such as Supervision, Legal, AML, and Investigations to coordinate reviews and enhance advisor experience
- Participate in trainings that may include webinars, periodicals, and self-study in order maintain knowledge of applicable laws and regulations, specifically relating to elder financial exploitation
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 and/or equivalent experience preferred
- Strong excel skills, experience with Smartsheet helpful
- Regulatory Compliance, working knowledge of FINRA Rule 4512, FINRA Rule 2165, and state laws relating to identifying and reporting elder financial exploitation helpful
- Professional licenses/certifications (i.e., FINRA Series 7, CAMS, CFE) preferred
Core Competencies:
- Critical thinking
- Time Management
- Decision Making
- Case Management
- Written and oral communication
- Presentation and reporting skills
Pay Range:
$24.02-$40.06/hour
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 LPL Financial: Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.
Why LPL?
- Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team.
- Limitless Career Potential: Your career at LPL has no limits, only amazing potential.
- Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients.
- Impactful Work: Our size is just right for you to make a real impact.
- Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds.
- Community Focus: We care for our communities and encourage our employees to do the same.
- Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home.
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:
The Program Compliance Associate Analyst will support several functions within Program Compliance, including both the Compliance Education & Training and Senior Investor Protection teams. The Senior Investor Protection (SIP) team ensures that LPL complies with FINRA rules as well as regulations set forth by state and federal law relating to monitoring, identifying, investigating, and reporting diminished capacity and elder financial exploitation concerns as it relates to senior investors and vulnerable adults. The Compliance Education & Training team supports all Firm Element training, as well as mandatory Compliance training throughout the year.
This analyst will be responsible for assisting with reporting, data gathering, incoming case entry and review, interacting with advisors to gather additional information for both Senior Investor and CET requests, and general team support.
Responsibilities:
- Monitor and support the department group mailbox (SIP and CET), manage new case intake, including review for completeness and entry into Mantas
- Respond to advisors with additional state specific information, general information requests
- Assist management with any ad hoc projects or initiatives including but not limited to general QC of offshore team, QC of completed SIP team cases, decks or report pulls for CET
- Provide clear and effective communication with financial advisors, relationship managers, branch associates and others as needed
- Support relationships building with internal business partners such as Supervision, Legal, AML, and Investigations to coordinate reviews and enhance advisor experience
- Participate in trainings that may include webinars, periodicals, and self-study in order maintain knowledge of applicable laws and regulations, specifically relating to elder financial exploitation
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 and/or equivalent experience preferred
- Strong excel skills, experience with Smartsheet helpful
- Regulatory Compliance, working knowledge of FINRA Rule 4512, FINRA Rule 2165, and state laws relating to identifying and reporting elder financial exploitation helpful
- Professional licenses/certifications (i.e., FINRA Series 7, CAMS, CFE) preferred
Core Competencies:
- Critical thinking
- Time Management
- Decision Making
- Case Management
- Written and oral communication
- Presentation and reporting skills
Pay Range:
$24.02-$40.06/hour
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 LPL Financial: Where Your Potential Meets Opportunity
At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.
Why LPL?
- Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team.
- Limitless Career Potential: Your career at LPL has no limits, only amazing potential.
- Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients.
- Impactful Work: Our size is just right for you to make a real impact.
- Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds.
- Community Focus: We care for our communities and encourage our employees to do the same.
- Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home.
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 1,374+ Compliance Associate jobs
Sign up for free to unlock all listings, filter by visa type, and get alerts for new Compliance Associate roles.
Get Access To All JobsTips for Finding TN Visa Sponsorship as a Compliance Associate
Align your degree to the right TN category
Compliance Associate roles can qualify under Accountant or Management Consultant depending on your duties. Your degree field must match the category your employer selects, so clarify job duties before your employer files.
Request a detailed offer letter early
Your offer letter must describe your compliance duties specifically, not just your job title. Vague language like 'performs various compliance tasks' creates port-of-entry risk. Ask your employer to list regulatory frameworks and reporting functions you'll own.
Target employers with existing TN filing experience
Financial institutions, healthcare systems, and publicly traded companies routinely hire compliance professionals and have HR teams familiar with TN documentation. Use Migrate Mate to filter for companies actively sponsoring TN visa roles in this field.
Prepare credential equivalency documentation in advance
If your degree is from a Mexican or Canadian institution, have a credential evaluation letter ready from a recognized evaluator before your interview process begins. U.S. consular officers and CBP can request this at the point of adjudication.
Understand what Mexican nationals need at the consulate
Unlike Canadians who can obtain TN status at the border, Mexican nationals must schedule a consular interview and obtain a TN visa stamp before entry. Build this into your start-date negotiation with your employer to avoid timeline conflicts.
Compliance Associate jobs are hiring across the US. Find yours.
Find Compliance Associate JobsCompliance Associate TN Visa: Frequently Asked Questions
Does a Compliance Associate role qualify for a TN visa?
Yes, Compliance Associate positions can qualify under the TN Accountant or Management Consultant category, depending on your core duties. Roles focused on financial reporting and regulatory audits typically fit the Accountant category. Roles centered on policy development and risk management processes often fit Management Consultant. Your offer letter must clearly describe duties that match the category your employer selects.
How does TN visa sponsorship compare to H-1B for Compliance Associate jobs?
TN visa sponsorship is generally faster and more predictable for Compliance Associates than H-1B. There is no annual lottery for Canadians, and approval can happen at the port of entry the same day. H-1B requires an April lottery, months of waiting, and significantly more employer paperwork. The tradeoff is that TN status must be tied to a specific employer and renewed with each job change.
What documents should I bring to the port of entry as a Canadian compliance professional?
You'll need a valid Canadian passport, a signed offer letter describing your compliance duties and TN category, proof of your qualifying degree, and your employer's business credentials such as a tax ID or company letterhead. CBP officers may ask follow-up questions about your specific regulatory responsibilities, so bring documentation that connects your degree to the compliance functions in the offer letter.
Where can I find Compliance Associate jobs that already offer TN visa sponsorship?
Migrate Mate is built specifically for Canadian and Mexican professionals searching for U.S. jobs with TN visa sponsorship. Rather than cold-applying to roles where sponsorship is unclear, you can search for Compliance Associate positions where employers have already indicated TN eligibility, which saves significant time in your job search.
Can I switch from a different TN category to a Compliance Associate role?
Yes, but you'll need a new TN approval reflecting the updated job title and category. Canadians can obtain this at the border with a new offer letter. Mexican nationals must return to a consulate for a new visa stamp. There is no formal change-of-status process within TN status the way there is with H-1B, so plan your transition timeline carefully with your new employer.
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