Compliance Officer Visa Sponsorship Jobs in Florida
Compliance officer roles in Florida are concentrated in Miami's financial services sector, Orlando's healthcare and hospitality industries, and Tampa's growing banking and insurance market. Major employers including Citigroup, AdventHealth, and Raymond James have sponsored compliance professionals. Florida's international business ties and heavily regulated industries make it an active state for visa sponsorship in this field.
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Get Access To All JobsPosition Overview
Bradesco Bank is seeking an experienced and strategic Chief Compliance Officer (CCO) to lead the Enterprise Compliance function across Bradesco Bank, Bradesco Investments, and Bradesco Global Advisors in the United States. The CCO serves as a key member of senior management and is responsible for maintaining an integrated compliance framework that supports the firm's growth strategy while ensuring compliance with applicable banking, securities, and investment advisory regulations. The CCO provides independent oversight, regulatory guidance, and effective challenge to business activities while fostering a culture of integrity, accountability, and regulatory excellence across all legal entities. The role serves as the primary compliance liaison with banking regulators, the Securities and Exchange Commission (SEC), and FINRA. The CCO will be also a critical strategic partner to Senior Management, playing a paramount role in supporting the Firm's growth objectives and business strategy while ensuring expansion initiatives, new products, client offerings, and market opportunities are pursued within a robust regulatory, governance, and control environment.
Key Responsibilities
Enterprise Bank Compliance
Provide enterprise-wide oversight of the Bank's Compliance Management System to identify, assess, monitor, and mitigate regulatory compliance risk.
- Lead and maintain the Bank's compliance framework, including policies, procedures, monitoring, testing, reporting, and governance.
- Advise Executive Management and the Board on compliance risks, regulatory developments, and emerging regulatory trends.
- Conduct compliance risk assessments and oversee issue management and remediation activities.
- Review new products, services, and strategic initiatives to ensure regulatory requirements are appropriately addressed.
- Serve as the primary liaison for banking regulatory examinations, audits, and supervisory reviews.
- Oversee regulatory change management and compliance training programs.
- Partner with Risk Management, Legal, Internal Audit, and business leaders to maintain a strong control environment.
- Coordinate with Financial Crimes and BSA/AML functions to ensure effective oversight of AML, OFAC, anti-bribery, and related compliance risks.
- Establish compliance oversight and monitoring of custody operations and related activities (e.g., SEI).
Broker-Dealer Compliance & Supervisory Principal
Serve as the designated Chief Compliance Officer and Supervisory Principal for Bradesco Investments, ensuring compliance with SEC, FINRA, and state securities regulations.
- Maintain and oversee the Broker-Dealer Compliance Program and Written Supervisory Procedures.
- Maintain required FINRA registrations, including Series 24.
- Supervise registered representatives and associated persons in accordance with regulatory requirements.
- Oversee sales practices, communications, marketing, suitability, Reg BI obligations, trade surveillance, books and records, and regulatory reporting.
- Review and approve transactions, new accounts, outside business activities, and other matters requiring principal supervision.
- Lead SEC and FINRA examinations, inquiries, and remediation efforts.
- Ensure effective branch supervision and supervisory control testing.
- Provide guidance on securities laws, conflicts of interest, and regulatory developments.
Registered Investment Adviser (RIA) Compliance
Serve as Chief Compliance Officer for Bradesco Global Advisors and oversee compliance with the Investment Advisers Act of 1940 and related SEC requirements.
- Maintain and administer the RIA Compliance Program, including policies, procedures, and annual compliance reviews.
- Oversee fiduciary compliance, conflict-of-interest management, and Code of Ethics requirements.
- Review advisory activities, client disclosures, marketing materials, and advisory operations.
- Monitor personal securities trading and other adviser-related compliance requirements.
- Ensure compliance with Form ADV and other regulatory filing obligations.
- Oversee compliance monitoring programs covering portfolio management, trading, and client servicing activities.
- Support SEC examinations and remediation activities.
Qualifications
- Bachelor’s degree in business, Finance, Accounting, Law, Risk Management, or related discipline.
- 15+ years of progressive compliance experience within banking, broker-dealer, investment advisory, or financial services organizations.
- 7+ years of senior leadership experience managing compliance programs and teams.
- Demonstrated experience interacting with banking regulators, the SEC, and FINRA.
- Extensive knowledge of U.S. banking regulations, securities regulations, and investment adviser requirements.
- Strong executive communication, leadership, and stakeholder management skills.
- FINRA Series 24 License.
- Portuguese and/or Spanish language proficiency (preferred).
Position Overview
Bradesco Bank is seeking an experienced and strategic Chief Compliance Officer (CCO) to lead the Enterprise Compliance function across Bradesco Bank, Bradesco Investments, and Bradesco Global Advisors in the United States. The CCO serves as a key member of senior management and is responsible for maintaining an integrated compliance framework that supports the firm's growth strategy while ensuring compliance with applicable banking, securities, and investment advisory regulations. The CCO provides independent oversight, regulatory guidance, and effective challenge to business activities while fostering a culture of integrity, accountability, and regulatory excellence across all legal entities. The role serves as the primary compliance liaison with banking regulators, the Securities and Exchange Commission (SEC), and FINRA. The CCO will be also a critical strategic partner to Senior Management, playing a paramount role in supporting the Firm's growth objectives and business strategy while ensuring expansion initiatives, new products, client offerings, and market opportunities are pursued within a robust regulatory, governance, and control environment.
Key Responsibilities
Enterprise Bank Compliance
Provide enterprise-wide oversight of the Bank's Compliance Management System to identify, assess, monitor, and mitigate regulatory compliance risk.
- Lead and maintain the Bank's compliance framework, including policies, procedures, monitoring, testing, reporting, and governance.
- Advise Executive Management and the Board on compliance risks, regulatory developments, and emerging regulatory trends.
- Conduct compliance risk assessments and oversee issue management and remediation activities.
- Review new products, services, and strategic initiatives to ensure regulatory requirements are appropriately addressed.
- Serve as the primary liaison for banking regulatory examinations, audits, and supervisory reviews.
- Oversee regulatory change management and compliance training programs.
- Partner with Risk Management, Legal, Internal Audit, and business leaders to maintain a strong control environment.
- Coordinate with Financial Crimes and BSA/AML functions to ensure effective oversight of AML, OFAC, anti-bribery, and related compliance risks.
- Establish compliance oversight and monitoring of custody operations and related activities (e.g., SEI).
Broker-Dealer Compliance & Supervisory Principal
Serve as the designated Chief Compliance Officer and Supervisory Principal for Bradesco Investments, ensuring compliance with SEC, FINRA, and state securities regulations.
- Maintain and oversee the Broker-Dealer Compliance Program and Written Supervisory Procedures.
- Maintain required FINRA registrations, including Series 24.
- Supervise registered representatives and associated persons in accordance with regulatory requirements.
- Oversee sales practices, communications, marketing, suitability, Reg BI obligations, trade surveillance, books and records, and regulatory reporting.
- Review and approve transactions, new accounts, outside business activities, and other matters requiring principal supervision.
- Lead SEC and FINRA examinations, inquiries, and remediation efforts.
- Ensure effective branch supervision and supervisory control testing.
- Provide guidance on securities laws, conflicts of interest, and regulatory developments.
Registered Investment Adviser (RIA) Compliance
Serve as Chief Compliance Officer for Bradesco Global Advisors and oversee compliance with the Investment Advisers Act of 1940 and related SEC requirements.
- Maintain and administer the RIA Compliance Program, including policies, procedures, and annual compliance reviews.
- Oversee fiduciary compliance, conflict-of-interest management, and Code of Ethics requirements.
- Review advisory activities, client disclosures, marketing materials, and advisory operations.
- Monitor personal securities trading and other adviser-related compliance requirements.
- Ensure compliance with Form ADV and other regulatory filing obligations.
- Oversee compliance monitoring programs covering portfolio management, trading, and client servicing activities.
- Support SEC examinations and remediation activities.
Qualifications
- Bachelor’s degree in business, Finance, Accounting, Law, Risk Management, or related discipline.
- 15+ years of progressive compliance experience within banking, broker-dealer, investment advisory, or financial services organizations.
- 7+ years of senior leadership experience managing compliance programs and teams.
- Demonstrated experience interacting with banking regulators, the SEC, and FINRA.
- Extensive knowledge of U.S. banking regulations, securities regulations, and investment adviser requirements.
- Strong executive communication, leadership, and stakeholder management skills.
- FINRA Series 24 License.
- Portuguese and/or Spanish language proficiency (preferred).
Compliance Officer Job Roles in Florida
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Search Compliance Officer Jobs in FloridaCompliance Officer Jobs in Florida: Frequently Asked Questions
Which companies sponsor visas for compliance officers in Florida?
Financial institutions and healthcare organizations are among the most active sponsors. Banks including Citigroup, JPMorgan Chase, and Bank of America have Florida compliance operations, as do healthcare systems like AdventHealth and HCA Florida. Insurance carriers and fintech firms in Tampa and Miami also have a track record of H-1B visa sponsorship for compliance roles, particularly at the senior analyst and manager level.
Which visa types are most common for compliance officer roles in Florida?
The H-1B is the most common visa category for compliance officers in Florida, as the role typically requires a bachelor's degree in finance, law, accounting, or a related field, which satisfies the specialty occupation standard. Candidates with advanced degrees may also explore the EB-2 immigrant visa pathway. Some multinational firms use the L-1B for intracompany transfers into compliance positions requiring specialized knowledge.
Which cities in Florida have the most compliance officer sponsorship jobs?
Miami leads Florida for compliance officer sponsorship, driven by its concentration of international banks, asset managers, and Latin American regional headquarters. Tampa follows closely, supported by financial services firms and insurance companies headquartered there. Orlando has notable activity in healthcare compliance, given the density of hospital systems and managed care organizations in the region. Fort Lauderdale also generates sponsorship activity in financial and legal services.
How to find compliance officer visa sponsorship jobs in Florida?
Migrate Mate is built specifically for international candidates seeking visa sponsorship and lets you filter compliance officer roles by state, including Florida. Rather than sifting through general job postings where sponsorship availability is unclear, Migrate Mate surfaces positions from employers with a documented history of sponsoring compliance professionals, saving significant time during a job search where immigration status often creates urgency.
Are there state-specific considerations for compliance officer sponsorship in Florida?
Florida has no state income tax, which affects how employers calculate total compensation packages but does not change federal H-1B prevailing wage requirements. Employers must still meet Department of Labor wage levels for the specific metropolitan statistical area, which differ between Miami, Tampa, and Orlando. Florida's large number of internationally chartered banks and SEC-registered firms also means compliance roles frequently intersect with cross-border regulatory requirements, making international candidates with multilingual backgrounds particularly relevant to some employers.
What is the prevailing wage for sponsored compliance officer jobs in Florida?
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.