Compliance Consultant Visa Sponsorship Jobs in California
Compliance consultant visa sponsorship jobs in California are concentrated in financial services, technology, and healthcare, with major employers including Wells Fargo, Deloitte, PwC, and Kaiser Permanente. San Francisco, Los Angeles, and San Diego are the primary hiring centers, driven by California's dense regulatory environment across fintech, biotech, and healthcare sectors.
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Get Access To All JobsDirector - US FSCR - Compliance Consulting
At Kroll, you will lead the delivery of expert compliance guidance to a diverse range of financial firms, including registered investment advisers, broker-dealers, and registered investment companies. As a senior leader within the practice, you will own and grow key client relationships, serve as a trusted advisor to senior executives and boards, develop and mentor the broader team, and help drive the strategic growth of our award-winning global compliance consulting practice.
Responsibilities
We are seeking an experienced, client-focused leader with deep knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations, and the Investment Company Act of 1940 (‘40 Act) a plus. The ideal candidate owns a portfolio of client relationships, provides strategic direction on complex compliance matters, leads and develops engagement teams, drives business development, and helps shape the growth, culture, and thought leadership of the practice.
- Own senior-level client relationships as the primary point of contact for strategic compliance guidance, leading and coordinating engagement teams to ensure high-quality, timely delivery across a portfolio of clients
- Serve as a senior consultant or Outsourced CCO for RIAs, broker-dealers, and registered funds, providing strategic oversight of compliance programs, conflicts of interest, Codes of Ethics, and regulatory filings (Forms ADV, PF, BD, U4/U5) under the Advisers Act, ’40 Act, and FINRA rules.
- Develop and implement tailored compliance programs, including written policies, procedures, testing, and surveillance in accordance with Rule 206(4)-7 (Advisers Act), Rule 3120/3130 (FINRA), and Rule 38a-1 (’40 Act)
- Lead compliance program development and administration, including SEC and FINRA registrations, FINRA New Membership Applications (NMAs), policies and procedures, testing, surveillance, and regulatory filings (Forms ADV, PF, BD, and U4/U5).
- Advise clients on Advisers Act obligations including leading new registrations for RIAs and ERAs and regulatory exams or inquiries
- Lead with SEC and/or FINRA examinations, inquiries, remediation efforts and mock exams
- Review marketing materials for broker-dealers and RIAs
- Monitor regulatory developments, SEC examination priorities, and enforcement trends affecting RIAs, broker-dealers, and registered funds, and advise clients on their strategic implications
- Drive business development by identifying new opportunities, leading proposals, expanding existing engagements, and cultivating relationships with prospects and referral sources
- Lead, mentor, and develop team members, including junior staff, and contribute to the growth, training, and culture of the practice
- Contribute to thought leadership through publications, webinars, and speaking engagements that enhance Kroll’s market presence and brand
What You Bring
- 10–20+ years of compliance experience supporting RIAs and/or broker-dealers, including a track record of leading engagements and client relationships
- Strong working knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations
- Experience registering and managing compliance programs
- Familiarity with SEC examination processes, FINRA oversight, and regulatory remediation
- Proven ability to originate and close new business and expand existing client relationships
- Excellent client communication, team leadership, and organizational skills, with demonstrated ability to develop talent and manage engagement teams
- Proven ability to lead and grow multiple client engagements while contributing to business development and a collaborative team culture
- Bachelor's degree required; JD or MBA a plus
- Relevant industry certifications (CAMS, FINRA licenses etc.)
- Experience with ’40 Act, registered funds and/or BDCs
- Experience advising CTAs, CPOs, and FCMs on NFA and CFTC requirements, including registration, compliance programs, and exam preparedness
Why Join Kroll?
Join the global leader in risk and financial advisory solutions. With a nearly century-long legacy, we blend trusted expertise with cutting-edge technology to navigate and redefine industry complexities. As part of One Team, One Kroll, you'll contribute to a collaborative and empowering environment, propelling your career to new heights. Ready to build, protect, restore, and maximize our clients' value? Your journey begins with Kroll.
Apply Today
Interested candidates must formally apply via: careers.kroll.com
Kroll is committed to creating an inclusive work environment. We are proud to be an equal opportunity employer and will consider all qualified applicants regardless of gender, gender identity, race, religion, color, nationality, ethnic origin, sexual orientation, marital status, veteran status, age, or disability.
Director - US FSCR - Compliance Consulting
At Kroll, you will lead the delivery of expert compliance guidance to a diverse range of financial firms, including registered investment advisers, broker-dealers, and registered investment companies. As a senior leader within the practice, you will own and grow key client relationships, serve as a trusted advisor to senior executives and boards, develop and mentor the broader team, and help drive the strategic growth of our award-winning global compliance consulting practice.
Responsibilities
We are seeking an experienced, client-focused leader with deep knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations, and the Investment Company Act of 1940 (‘40 Act) a plus. The ideal candidate owns a portfolio of client relationships, provides strategic direction on complex compliance matters, leads and develops engagement teams, drives business development, and helps shape the growth, culture, and thought leadership of the practice.
- Own senior-level client relationships as the primary point of contact for strategic compliance guidance, leading and coordinating engagement teams to ensure high-quality, timely delivery across a portfolio of clients
- Serve as a senior consultant or Outsourced CCO for RIAs, broker-dealers, and registered funds, providing strategic oversight of compliance programs, conflicts of interest, Codes of Ethics, and regulatory filings (Forms ADV, PF, BD, U4/U5) under the Advisers Act, ’40 Act, and FINRA rules.
- Develop and implement tailored compliance programs, including written policies, procedures, testing, and surveillance in accordance with Rule 206(4)-7 (Advisers Act), Rule 3120/3130 (FINRA), and Rule 38a-1 (’40 Act)
- Lead compliance program development and administration, including SEC and FINRA registrations, FINRA New Membership Applications (NMAs), policies and procedures, testing, surveillance, and regulatory filings (Forms ADV, PF, BD, and U4/U5).
- Advise clients on Advisers Act obligations including leading new registrations for RIAs and ERAs and regulatory exams or inquiries
- Lead with SEC and/or FINRA examinations, inquiries, remediation efforts and mock exams
- Review marketing materials for broker-dealers and RIAs
- Monitor regulatory developments, SEC examination priorities, and enforcement trends affecting RIAs, broker-dealers, and registered funds, and advise clients on their strategic implications
- Drive business development by identifying new opportunities, leading proposals, expanding existing engagements, and cultivating relationships with prospects and referral sources
- Lead, mentor, and develop team members, including junior staff, and contribute to the growth, training, and culture of the practice
- Contribute to thought leadership through publications, webinars, and speaking engagements that enhance Kroll’s market presence and brand
What You Bring
- 10–20+ years of compliance experience supporting RIAs and/or broker-dealers, including a track record of leading engagements and client relationships
- Strong working knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations
- Experience registering and managing compliance programs
- Familiarity with SEC examination processes, FINRA oversight, and regulatory remediation
- Proven ability to originate and close new business and expand existing client relationships
- Excellent client communication, team leadership, and organizational skills, with demonstrated ability to develop talent and manage engagement teams
- Proven ability to lead and grow multiple client engagements while contributing to business development and a collaborative team culture
- Bachelor's degree required; JD or MBA a plus
- Relevant industry certifications (CAMS, FINRA licenses etc.)
- Experience with ’40 Act, registered funds and/or BDCs
- Experience advising CTAs, CPOs, and FCMs on NFA and CFTC requirements, including registration, compliance programs, and exam preparedness
Why Join Kroll?
Join the global leader in risk and financial advisory solutions. With a nearly century-long legacy, we blend trusted expertise with cutting-edge technology to navigate and redefine industry complexities. As part of One Team, One Kroll, you'll contribute to a collaborative and empowering environment, propelling your career to new heights. Ready to build, protect, restore, and maximize our clients' value? Your journey begins with Kroll.
Apply Today
Interested candidates must formally apply via: careers.kroll.com
Kroll is committed to creating an inclusive work environment. We are proud to be an equal opportunity employer and will consider all qualified applicants regardless of gender, gender identity, race, religion, color, nationality, ethnic origin, sexual orientation, marital status, veteran status, age, or disability.
Compliance Consultant Job Roles in California
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Search Compliance Consultant Jobs in CaliforniaCompliance Consultant Jobs in California: Frequently Asked Questions
Which companies sponsor visas for compliance consultants in California?
Large financial institutions, consulting firms, and healthcare organizations are among the most active sponsors for compliance consultant roles in California. Companies including Deloitte, PwC, KPMG, Wells Fargo, Bank of America, and Kaiser Permanente have consistent records of H-1B visa filings for compliance-related positions. Technology firms with fintech or data privacy compliance needs, such as Salesforce and Cisco, also sponsor compliance consultants regularly.
Which visa types are most common for compliance consultant roles in California?
The H-1B is the most common visa for compliance consultants in California, as the role typically qualifies as a specialty occupation requiring a bachelor's degree or higher in a relevant field such as finance, law, accounting, or business. L-1B visas are also used when a multinational firm transfers a compliance specialist with proprietary knowledge. O-1 visas are an option for consultants with exceptional credentials, though they are less common in this category.
Which cities in California have the most compliance consultant sponsorship jobs?
San Francisco leads California for compliance consultant sponsorship jobs, driven by its concentration of financial services firms, fintech companies, and technology giants with complex regulatory obligations. Los Angeles follows closely, particularly in entertainment compliance, healthcare, and financial services. San Diego is a growing hub for biotech and pharmaceutical compliance roles. Sacramento also sees demand, given its proximity to state regulatory bodies and government contractors.
How to find compliance consultant visa sponsorship jobs in California?
Migrate Mate is a dedicated platform for international job seekers that filters compliance consultant jobs in California by visa sponsorship availability, saving significant time compared to manually screening postings. Compliance consultant roles span multiple sectors in California, so filtering by industry alongside sponsorship status helps narrow results meaningfully. Migrate Mate aggregates sponsoring employers across financial services, healthcare, and technology, which are the three dominant sectors for this role in the state.
Are there state-specific considerations for compliance consultant visa sponsorship in California?
California's stringent regulatory environment, including the California Consumer Privacy Act and strict financial and environmental regulations, creates sustained demand for compliance consultants beyond what most other states generate. Employers sponsoring H-1B workers must pay the Department of Labor prevailing wage for the specific location, and California's high cost of living means prevailing wages for compliance roles are among the highest in the country. Several UC system campuses and USC also produce compliance-adjacent graduates who compete for sponsored roles.
What is the prevailing wage for sponsored compliance consultant 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.