Compliance Associate Visa Sponsorship Jobs in California
California is one of the top states for compliance associate visa sponsorship, driven by its concentration of financial services firms, tech companies, and healthcare organizations. Major employers include Wells Fargo, Bank of America, Kaiser Permanente, and Salesforce. San Francisco, Los Angeles, and San Jose consistently post the highest volume of sponsored compliance associate roles.
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Get Access To All JobsJob Description
The Ares Legal and Compliance Department oversees and manages Ares’ global Legal, Regulatory and Compliance functions and programs. Under the leadership of the Global Chief Compliance Officer, the Compliance and Regulatory functions are comprised of teams that operate collaboratively with a global focus, including Regulatory, which oversees all global regulatory matters including the Advisers Act, Investment Company Act and FINRA; European and Asia Pacific Compliance, which oversees region-specific compliance and regulatory matters; Investment Adviser Compliance (including Code of Ethics), which administers global policies and central compliance and oversight functions; and Financial Crime Prevention, which oversees Ares’ adherence to financial crimes-related rules and regulations.
Ares is seeking a Senior Associate to join our Conflicts Management and Trade Surveillance Compliance team to serve as a member of the Firm’s Code of Ethics Compliance program. The ideal candidate will bring demonstrated knowledge and experience across political contributions as it relates to compliance and best in class global Code of Ethics & forensic testing programs. This role will particularly focus on enhancement of compliance political contribution and lobbying policies, procedures and technology of the Firm’s Global Code of Ethics program in coordination with the Heads of Compliance for EMEA and APAC.
Primary Functions and Essential Responsibilities
Specific responsibilities include, but are not limited to:
- Administer, along with other team members, the Firm's Global Code of Ethics Program including political contributions, policies governing personal trading, gifts and entertainment, outside business activity, and conflicts of interest
- Act as lead to manage pre-clearance requests related to political contributions, gifts and entertainment, etc.
- Assess initial disclosure information for potential conflicts of interest
- Act as administrator and systems expert for the system Ares uses to administer the Code of Ethics and other global policies
- Manage the Firm’s lobbyist registrations and items of value requisitions related to government officials in coordination with the Firm’s Head of Financial Crime Prevention
- Generate relevant metrics for management regarding Code of Ethics supervisory activities
- Identify, investigate, and properly address potential or actual violations
- Supervise certain tasks performed by third party compliance support providers and help provide continuous training to improve the process
- Facilitate quarterly, annual, and ad hoc policy certifications
- Act as one of the primary contacts for responding to policy questions, mostly related to the Code of Ethics
- Identify, present recommendations, and ultimately implement solutions for improving processes within the program to build efficiencies and improve workflows
- Maintain strong working knowledge of the firm's compliance policies and procedures
- Appropriately escalate material compliance issues
Qualifications
Education:
- Bachelor’s Degree required
- Advanced Degree preferred
Experience Required:
- 5-7 years of Finance industry experience in Compliance, with experience at a global asset management firm a plus
- 5-7 years of Code of Ethics related work with a strong understanding of political contributions is required
- A strong understanding of SEC regulations, with a particular focus on the Investment Advisers Act of 1940
- Experience with non-U.S. regulatory requirements for investment managers
- Proven people leader – hiring, developing, and fostering talent; building high-performing and well-coordinated teams; driving change across scaled and global teams
- Ability to effectively partner with global staff inside and outside of the department
- Proven ability to develop long-term strategy, reflecting multiple dimensions (business compliance/controls, people, and culture) and supporting multiple objectives
- Exceptional critical thinker
- Strong business judgment
- Ability to manage up and communicate efficiently and effectively
- Proficiency with Microsoft Office Suite (Excel, Word, PowerPoint)
General Requirements:
- Strong management skills, including proven experience of managing and/or collaborating with teams in remote locations to ensure efficiency, effectiveness, and high level of supervisory oversight
- Strong sense of ownership and accountability
- Ability to manage up and instinctively know when to escalate risks, concerns, issues and/or various messages
- Expertise with SEC regulatory review and interpretation of regulations
- Ability to manage challenging workflow in fast-paced, dynamic organization, managing multiple assignments in a deadline driven environment
- Ability to successfully manage multiple priorities and competing demands; result oriented
- High accuracy and detail orientation
- Organizational skills, demonstrated ability to manage competing priorities and lead large scale projects to completion
- Excellent communication and client service skills; capability of interacting with key stakeholders to direct prioritization of program related activity
- Strong written, verbal and interpersonal skills
- An analytical mind and a passion/interest in bringing new ideas to increase efficiency of existing processes
- Experience and ability to proactively and continuously identify and analyze problem situations to develop an effective and improve course of action for resolution
- Ability to be flexible in terms of hours in order to coordinate with team members across time zones
- Comfort in dealing with ambiguity and uncertainty in a dynamic environment
- Dependable, great attitude, highly motivated and a team player
- Ability to handle confidential information appropriately
Reporting Relationships
Compensation
The anticipated base salary range for this position is listed below. Total compensation may also include a discretionary performance-based bonus. Note, the range takes into account a broad spectrum of qualifications, including, but not limited to, years of relevant work experience, education, and other relevant qualifications specific to the role.
- $120,000-$145,000
The firm also offers robust Benefits offerings. Ares U.S. Core Benefits include Comprehensive Medical/Rx, Dental and Vision plans; 401(k) program with company match; Flexible Savings Accounts (FSA); Healthcare Savings Accounts (HSA) with company contribution; Basic and Voluntary Life Insurance; Long-Term Disability (LTD) and Short-Term Disability (STD) insurance; Employee Assistance Program (EAP), and Commuter Benefits plan for parking and transit.
Ares offers a number of additional benefits including access to a world-class medical advisory team, a mental health app that includes coaching, therapy and psychiatry, a mindfulness and wellbeing app, financial wellness benefit that includes access to a financial advisor, new parent leave, reproductive and adoption assistance, emergency backup care, matching gift program, education sponsorship program, and much more.
There is no set deadline to apply for this job opportunity. Applications will be accepted on an ongoing basis until the search is no longer active.
Job Description
The Ares Legal and Compliance Department oversees and manages Ares’ global Legal, Regulatory and Compliance functions and programs. Under the leadership of the Global Chief Compliance Officer, the Compliance and Regulatory functions are comprised of teams that operate collaboratively with a global focus, including Regulatory, which oversees all global regulatory matters including the Advisers Act, Investment Company Act and FINRA; European and Asia Pacific Compliance, which oversees region-specific compliance and regulatory matters; Investment Adviser Compliance (including Code of Ethics), which administers global policies and central compliance and oversight functions; and Financial Crime Prevention, which oversees Ares’ adherence to financial crimes-related rules and regulations.
Ares is seeking a Senior Associate to join our Conflicts Management and Trade Surveillance Compliance team to serve as a member of the Firm’s Code of Ethics Compliance program. The ideal candidate will bring demonstrated knowledge and experience across political contributions as it relates to compliance and best in class global Code of Ethics & forensic testing programs. This role will particularly focus on enhancement of compliance political contribution and lobbying policies, procedures and technology of the Firm’s Global Code of Ethics program in coordination with the Heads of Compliance for EMEA and APAC.
Primary Functions and Essential Responsibilities
Specific responsibilities include, but are not limited to:
- Administer, along with other team members, the Firm's Global Code of Ethics Program including political contributions, policies governing personal trading, gifts and entertainment, outside business activity, and conflicts of interest
- Act as lead to manage pre-clearance requests related to political contributions, gifts and entertainment, etc.
- Assess initial disclosure information for potential conflicts of interest
- Act as administrator and systems expert for the system Ares uses to administer the Code of Ethics and other global policies
- Manage the Firm’s lobbyist registrations and items of value requisitions related to government officials in coordination with the Firm’s Head of Financial Crime Prevention
- Generate relevant metrics for management regarding Code of Ethics supervisory activities
- Identify, investigate, and properly address potential or actual violations
- Supervise certain tasks performed by third party compliance support providers and help provide continuous training to improve the process
- Facilitate quarterly, annual, and ad hoc policy certifications
- Act as one of the primary contacts for responding to policy questions, mostly related to the Code of Ethics
- Identify, present recommendations, and ultimately implement solutions for improving processes within the program to build efficiencies and improve workflows
- Maintain strong working knowledge of the firm's compliance policies and procedures
- Appropriately escalate material compliance issues
Qualifications
Education:
- Bachelor’s Degree required
- Advanced Degree preferred
Experience Required:
- 5-7 years of Finance industry experience in Compliance, with experience at a global asset management firm a plus
- 5-7 years of Code of Ethics related work with a strong understanding of political contributions is required
- A strong understanding of SEC regulations, with a particular focus on the Investment Advisers Act of 1940
- Experience with non-U.S. regulatory requirements for investment managers
- Proven people leader – hiring, developing, and fostering talent; building high-performing and well-coordinated teams; driving change across scaled and global teams
- Ability to effectively partner with global staff inside and outside of the department
- Proven ability to develop long-term strategy, reflecting multiple dimensions (business compliance/controls, people, and culture) and supporting multiple objectives
- Exceptional critical thinker
- Strong business judgment
- Ability to manage up and communicate efficiently and effectively
- Proficiency with Microsoft Office Suite (Excel, Word, PowerPoint)
General Requirements:
- Strong management skills, including proven experience of managing and/or collaborating with teams in remote locations to ensure efficiency, effectiveness, and high level of supervisory oversight
- Strong sense of ownership and accountability
- Ability to manage up and instinctively know when to escalate risks, concerns, issues and/or various messages
- Expertise with SEC regulatory review and interpretation of regulations
- Ability to manage challenging workflow in fast-paced, dynamic organization, managing multiple assignments in a deadline driven environment
- Ability to successfully manage multiple priorities and competing demands; result oriented
- High accuracy and detail orientation
- Organizational skills, demonstrated ability to manage competing priorities and lead large scale projects to completion
- Excellent communication and client service skills; capability of interacting with key stakeholders to direct prioritization of program related activity
- Strong written, verbal and interpersonal skills
- An analytical mind and a passion/interest in bringing new ideas to increase efficiency of existing processes
- Experience and ability to proactively and continuously identify and analyze problem situations to develop an effective and improve course of action for resolution
- Ability to be flexible in terms of hours in order to coordinate with team members across time zones
- Comfort in dealing with ambiguity and uncertainty in a dynamic environment
- Dependable, great attitude, highly motivated and a team player
- Ability to handle confidential information appropriately
Reporting Relationships
Compensation
The anticipated base salary range for this position is listed below. Total compensation may also include a discretionary performance-based bonus. Note, the range takes into account a broad spectrum of qualifications, including, but not limited to, years of relevant work experience, education, and other relevant qualifications specific to the role.
- $120,000-$145,000
The firm also offers robust Benefits offerings. Ares U.S. Core Benefits include Comprehensive Medical/Rx, Dental and Vision plans; 401(k) program with company match; Flexible Savings Accounts (FSA); Healthcare Savings Accounts (HSA) with company contribution; Basic and Voluntary Life Insurance; Long-Term Disability (LTD) and Short-Term Disability (STD) insurance; Employee Assistance Program (EAP), and Commuter Benefits plan for parking and transit.
Ares offers a number of additional benefits including access to a world-class medical advisory team, a mental health app that includes coaching, therapy and psychiatry, a mindfulness and wellbeing app, financial wellness benefit that includes access to a financial advisor, new parent leave, reproductive and adoption assistance, emergency backup care, matching gift program, education sponsorship program, and much more.
There is no set deadline to apply for this job opportunity. Applications will be accepted on an ongoing basis until the search is no longer active.
Compliance Associate Job Roles in California
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Search Compliance Associate Jobs in CaliforniaCompliance Associate Jobs in California: Frequently Asked Questions
Which companies sponsor visas for compliance associates in California?
Financial institutions and technology companies account for the majority of compliance associate sponsorships in California. Wells Fargo, Bank of America, Charles Schwab, and JPMorgan Chase regularly sponsor compliance roles in the state. On the tech side, companies like Google, Meta, and Salesforce also hire compliance associates who require visa sponsorship, particularly for roles focused on data privacy and regulatory affairs.
Which visa types are most common for compliance associate roles in California?
The H-1B visa is the most common visa for compliance associates in California, as most roles require at least a bachelor's degree in a related field such as finance, law, or business. Employers may also sponsor through the TN visa for Canadian and Mexican nationals whose roles qualify under the NAFTA professional categories. Candidates already holding OPT or STEM OPT may also find employers willing to support an H-1B visa transition.
Which cities in California have the most compliance associate sponsorship jobs?
San Francisco and the broader Bay Area lead the state in compliance associate sponsorship volume, driven by the concentration of financial services firms and technology companies. Los Angeles follows closely, with strong demand from entertainment, healthcare, and financial sectors. San Jose also sees consistent postings, particularly for compliance roles tied to technology product regulation and data privacy.
How to find compliance associate visa sponsorship jobs in California?
Migrate Mate is built specifically for international job seekers and filters compliance associate roles by visa sponsorship availability, so you can search California-based positions without sorting through employers who do not sponsor. The platform surfaces roles from financial institutions, tech companies, and healthcare organizations across San Francisco, Los Angeles, and San Jose, making it easier to identify employers actively willing to support your visa.
Are there any California-specific factors that affect compliance associate sponsorship?
California's strict consumer privacy laws, including the California Consumer Privacy Act, have increased demand for compliance professionals with data privacy expertise, which can strengthen a candidate's sponsorship case by demonstrating a specialized skill set. The state also applies California prevailing wage standards alongside federal Department of Labor requirements, meaning employers must meet competitive wage thresholds when filing Labor Condition Applications for sponsored compliance associates.
What is the prevailing wage for sponsored compliance associate jobs in California?
U.S. employers sponsoring a visa must pay at least the prevailing wage, which is what workers in the same role, area, and experience level typically earn. The Department of Labor sets this rate to make sure companies aren't hiring foreign workers simply because they'd accept lower pay than a U.S. worker. It varies by job title, location, and experience. You can look up current prevailing wage rates for any occupation and location using the OFLC Wage Search page.