Compliance Associate Visa Sponsorship Jobs in Colorado
Colorado's compliance associate market spans financial services firms in Denver, energy and cannabis regulatory teams along the Front Range, and tech companies in Boulder. Employers including Xcel Energy, TIAA, and Palantir have sponsored compliance roles here. International candidates pursuing visa sponsorship will find active hiring across multiple regulated industries statewide.
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Connecting clients to markets – and talent to opportunity. With 4,300 employees and over 400,000 retail and institutional clients from more than 80 offices spread across five continents, we’re a Fortune-100, Nasdaq-listed provider, connecting clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors. Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional investing, The StoneX Group is made up of four segments that offer endless potential for progression and growth.
Business Segment Overview:
Corporate: Engage in a deep variety of business-critical activities that keep our company running efficiently. From strategic marketing and financial management to human resources and operational oversight, you’ll have the opportunity to optimize processes and implement game-changing policies.
Position purpose:
To plan and conduct branch examinations. May perform other compliance duties/responsibilities as part of a compliance team.
Responsibilities
Primary duties will include:
- Conduct scheduled and unscheduled branch office inspections across all registered and non-registered office locations, for multiple StoneX broker dealers and RIAs, both onsite and remote
- Review branch operations, sales practices, supervisory procedures, and recordkeeping for compliance with FINRA, SEC, and other applicable regulations
- Properly document findings, recommendations, and required corrective actions
- Prepare detailed examination reports outlining findings, recommendations, and required corrective actions
- Assist in the development and ongoing maintenance of comprehensive Written Supervisory Procedures (WSPs)
- Conduct assigned supervisory control testing and document results
- Interpret and apply relevant securities laws and regulations related to the role’s responsibilities
- Provide guidance, education, and training firm employees, representatives, and business units on regulatory changes, compliance matters, internal policies, and industry best practices
- Support responses to regulatory inquiries, examinations, and investigations as needed
- Foster collaborative and professional relationships with business partners
- Participate in compliance-related and cross-functional projects as assigned
- Perform other duties and responsibilities as assigned by management
Qualifications
To land this role you will need:
- Minimum of 5 years of experience in a compliance-related role within the financial services industry
- Institutional broker-dealer experience with a strong understanding of industry practices
- In-depth knowledge of equity and fixed income trading, including market structure and execution
- Hands-on experience with clearing and prime brokerage operations
- Broad understanding of broker-dealer operations and applicable regulatory frameworks
- Strong knowledge of FINRA, SEC, and other regulatory requirements
- Demonstrated analytical, problem-solving, and investigative skills
- Strong leadership capabilities and sound decision-making judgment
- Excellent verbal and written communication skills
- Proficiency in Microsoft Office Suite, particularly Excel
- Ability to build and maintain positive, productive relationships across departments and with external stakeholders
- Strong organizational skills with the ability to manage multiple priorities in a fast-paced environment
- Must uphold and model a high standard of professionalism and ethical conduct
- Full professional fluency in English required
What makes you stand out:
- Prior experience as a FINRA examiner or similar regulatory role a plus
- Must possess FINRA Series 7 and Series 24 licenses
- Professional working proficiency in Spanish preferred
Education / Certification Requirements:
- Bachelor’s degree in management, Finance, or a related field
Working Environment:
- Remote
- Ability to travel up to 75% of the time
Hiring Salary Range
$75,000 - $115,000. Salary to be determined by the education, experience, knowledge, skills and abilities of the applicant, internal equity and alignment with market data. Subject to business performance and recommendations of management, this role may be eligible to participate in an incentive compensation plan. This compensation package, in addition to a full range of medical, financial, and/or other benefits, dependent on the position, is offered.
Overview
Connecting clients to markets – and talent to opportunity. With 4,300 employees and over 400,000 retail and institutional clients from more than 80 offices spread across five continents, we’re a Fortune-100, Nasdaq-listed provider, connecting clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors. Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional investing, The StoneX Group is made up of four segments that offer endless potential for progression and growth.
Business Segment Overview:
Corporate: Engage in a deep variety of business-critical activities that keep our company running efficiently. From strategic marketing and financial management to human resources and operational oversight, you’ll have the opportunity to optimize processes and implement game-changing policies.
Position purpose:
To plan and conduct branch examinations. May perform other compliance duties/responsibilities as part of a compliance team.
Responsibilities
Primary duties will include:
- Conduct scheduled and unscheduled branch office inspections across all registered and non-registered office locations, for multiple StoneX broker dealers and RIAs, both onsite and remote
- Review branch operations, sales practices, supervisory procedures, and recordkeeping for compliance with FINRA, SEC, and other applicable regulations
- Properly document findings, recommendations, and required corrective actions
- Prepare detailed examination reports outlining findings, recommendations, and required corrective actions
- Assist in the development and ongoing maintenance of comprehensive Written Supervisory Procedures (WSPs)
- Conduct assigned supervisory control testing and document results
- Interpret and apply relevant securities laws and regulations related to the role’s responsibilities
- Provide guidance, education, and training firm employees, representatives, and business units on regulatory changes, compliance matters, internal policies, and industry best practices
- Support responses to regulatory inquiries, examinations, and investigations as needed
- Foster collaborative and professional relationships with business partners
- Participate in compliance-related and cross-functional projects as assigned
- Perform other duties and responsibilities as assigned by management
Qualifications
To land this role you will need:
- Minimum of 5 years of experience in a compliance-related role within the financial services industry
- Institutional broker-dealer experience with a strong understanding of industry practices
- In-depth knowledge of equity and fixed income trading, including market structure and execution
- Hands-on experience with clearing and prime brokerage operations
- Broad understanding of broker-dealer operations and applicable regulatory frameworks
- Strong knowledge of FINRA, SEC, and other regulatory requirements
- Demonstrated analytical, problem-solving, and investigative skills
- Strong leadership capabilities and sound decision-making judgment
- Excellent verbal and written communication skills
- Proficiency in Microsoft Office Suite, particularly Excel
- Ability to build and maintain positive, productive relationships across departments and with external stakeholders
- Strong organizational skills with the ability to manage multiple priorities in a fast-paced environment
- Must uphold and model a high standard of professionalism and ethical conduct
- Full professional fluency in English required
What makes you stand out:
- Prior experience as a FINRA examiner or similar regulatory role a plus
- Must possess FINRA Series 7 and Series 24 licenses
- Professional working proficiency in Spanish preferred
Education / Certification Requirements:
- Bachelor’s degree in management, Finance, or a related field
Working Environment:
- Remote
- Ability to travel up to 75% of the time
Hiring Salary Range
$75,000 - $115,000. Salary to be determined by the education, experience, knowledge, skills and abilities of the applicant, internal equity and alignment with market data. Subject to business performance and recommendations of management, this role may be eligible to participate in an incentive compensation plan. This compensation package, in addition to a full range of medical, financial, and/or other benefits, dependent on the position, is offered.
Compliance Associate Job Roles in Colorado
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Search Compliance Associate Jobs in ColoradoCompliance Associate Jobs in Colorado: Frequently Asked Questions
Which companies in Colorado sponsor visas for compliance associates?
Financial institutions, energy companies, and technology firms are the most active sponsors for compliance associates in Colorado. Employers such as Xcel Energy, TIAA, Charles Schwab's Denver operations, and Palantir have filed H-1B visa Labor Condition Applications for compliance-related roles. Regulated industries, including banking, insurance, and cannabis, consistently require compliance staff and have established HR infrastructure to support sponsorship.
Which visa types are most common for compliance associate roles in Colorado?
The H-1B is the most common visa for compliance associates in Colorado, as the role typically requires a bachelor's degree in finance, law, business, or a related field and qualifies as a specialty occupation. Candidates already holding F-1 OPT or STEM OPT authorization can work while an employer files their H-1B petition. TN visa status is available to Canadian and Mexican nationals whose compliance role meets the applicable USMCA category requirements.
Which cities in Colorado have the most compliance associate sponsorship jobs?
Denver is by far the largest market, concentrated around the Denver Tech Center and downtown financial district. Boulder hosts compliance roles tied to technology and life sciences companies. Colorado Springs has compliance hiring driven by defense contractors and financial services firms serving military communities. Fort Collins sees periodic openings connected to its growing technology sector and proximity to Colorado State University talent pipelines.
How to find compliance associate visa sponsorship jobs in Colorado?
Migrate Mate aggregates compliance associate roles in Colorado that include visa sponsorship, letting you filter specifically by state and role type rather than manually screening job postings. Because sponsorship availability is not always stated upfront, using a platform like Migrate Mate that surfaces confirmed sponsoring employers saves significant research time. Filtering by Colorado and reviewing employer H-1B filing histories helps you prioritize applications to companies with a proven track record.
Are there state-specific factors that affect compliance associate sponsorship in Colorado?
Colorado's EPEWA (Equal Pay for Equal Work Act) requires employers to post compensation ranges, which gives international candidates more transparency when evaluating offers against H-1B prevailing wage requirements. The state's large cannabis industry creates compliance roles, though cannabis employers face complications sponsoring H-1B workers due to federal-state legal conflicts. University of Colorado and Colorado State graduate programs supply a steady pipeline of candidates, meaning competition at entry level can be meaningful.
What is the prevailing wage for sponsored compliance associate jobs in Colorado?
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.