Compliance Associate Visa Sponsorship Jobs in New York
New York is one of the most active markets for compliance associate roles in the United States, with demand concentrated in Manhattan's financial district, Midtown, and increasingly in Brooklyn's fintech corridor. Major employers include JPMorgan Chase, Citigroup, Goldman Sachs, and global law firms, many of which have established visa sponsorship programs for qualified international candidates.
Find Compliance Associate JobsOverview
Showing 5 of 899+ Compliance Associate Jobs in New York with Visa Sponsorship
Have you applied for this role?
Have you applied for this role?
Have you applied for this role?
Have you applied for this role?
Have you applied for this role?
See all 899+ Compliance Associate Jobs in New York with Visa Sponsorship
Sign up for free to unlock all listings, filter by visa type, and get alerts for new Compliance Associate Jobs in New York with Visa Sponsorship.
Get Access To All JobsWe're seeking someone to join our team as a Compliance Associate in Wealth Management Compliance to advise EquityZen and our quickly growing Private Markets business as we build compliant, scalable products and platforms.
In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is an Associate level position within the Wealth Management Compliance Investment Products Advisory team, which provides advice and guidance to its business units, offers advice from product inception to product management, ensures alignment with regulatory initiatives, and creates efficient controls and processes that mitigate risk.
Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.
What you'll do in the role:
- Help develop a cutting-edge FinTech marketplace by assessing and implementing new technologies, identifying opportunities for automation, and optimizing processes.
- Work cross-functionally with legal, deal, product, technology, and marketing teams.
- Communicate directly with customers and gain valuable client exposure.
- Assist with regulatory examinations, securities law matters, and the review of advertising and marketing materials.
- Proactively update, test, maintain, and develop policies and procedures to meet changing regulatory milestones.
- Engage in risk-based monitoring, communications review, and help the firm meet all compliance requirements.
- Prepare Form ADV, 4530 Complaint filings, and other necessary regulatory filings.
- Provide training and advocate for a strong culture of compliance throughout the organization.
- Stay informed and continuously learn about the most promising venture-backed companies and VC firms.
What you'll bring to the role:
- 3+ years of experience in a compliance role at a broker-dealer, investment advisor, investment bank, or asset manager (experience at the SEC's Division of Examinations/OCIE, FINRA, or the OSC is a strong plus).
- Active Series 7 and Series 24 licenses.
- Experience reviewing marketing materials and advertising, specifically including performance advertising.
- Working knowledge of securities laws, private placements, FINRA rules, SEC rules, and AML regulations.
- Exceptional issue-spotting skills and a proactive orientation; able to identify potential problems, propose actionable solutions, take ownership, and drive processes to conclusion.
- Collaborative team player with outstanding initiative, organizational skills, attention to detail, uncompromising integrity, and outstanding judgment.
- Strong verbal and written communication skills, bringing enthusiasm and a desire to teach others about legal obligations and compliance topics.
- Comfort adapting existing guidance to new markets, accompanied by a strong desire to research and learn about new and emerging issues.
- Experience in private placements, secondary markets, or FinTech marketplaces is a plus.
- Experience working with an Exempt Market Dealer, including having taken (or possessing an interest in taking) the Exempt Market Products Exam, the Canadian Securities Course Exam, or other Canadian exams.
- CAMS certification is a plus.
WHAT YOU CAN EXPECT FROM MORGAN STANLEY:
At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.
Expected base pay rates for the role will be between $80,000 and $115,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.
Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.
Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.
We're seeking someone to join our team as a Compliance Associate in Wealth Management Compliance to advise EquityZen and our quickly growing Private Markets business as we build compliant, scalable products and platforms.
In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is an Associate level position within the Wealth Management Compliance Investment Products Advisory team, which provides advice and guidance to its business units, offers advice from product inception to product management, ensures alignment with regulatory initiatives, and creates efficient controls and processes that mitigate risk.
Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.
What you'll do in the role:
- Help develop a cutting-edge FinTech marketplace by assessing and implementing new technologies, identifying opportunities for automation, and optimizing processes.
- Work cross-functionally with legal, deal, product, technology, and marketing teams.
- Communicate directly with customers and gain valuable client exposure.
- Assist with regulatory examinations, securities law matters, and the review of advertising and marketing materials.
- Proactively update, test, maintain, and develop policies and procedures to meet changing regulatory milestones.
- Engage in risk-based monitoring, communications review, and help the firm meet all compliance requirements.
- Prepare Form ADV, 4530 Complaint filings, and other necessary regulatory filings.
- Provide training and advocate for a strong culture of compliance throughout the organization.
- Stay informed and continuously learn about the most promising venture-backed companies and VC firms.
What you'll bring to the role:
- 3+ years of experience in a compliance role at a broker-dealer, investment advisor, investment bank, or asset manager (experience at the SEC's Division of Examinations/OCIE, FINRA, or the OSC is a strong plus).
- Active Series 7 and Series 24 licenses.
- Experience reviewing marketing materials and advertising, specifically including performance advertising.
- Working knowledge of securities laws, private placements, FINRA rules, SEC rules, and AML regulations.
- Exceptional issue-spotting skills and a proactive orientation; able to identify potential problems, propose actionable solutions, take ownership, and drive processes to conclusion.
- Collaborative team player with outstanding initiative, organizational skills, attention to detail, uncompromising integrity, and outstanding judgment.
- Strong verbal and written communication skills, bringing enthusiasm and a desire to teach others about legal obligations and compliance topics.
- Comfort adapting existing guidance to new markets, accompanied by a strong desire to research and learn about new and emerging issues.
- Experience in private placements, secondary markets, or FinTech marketplaces is a plus.
- Experience working with an Exempt Market Dealer, including having taken (or possessing an interest in taking) the Exempt Market Products Exam, the Canadian Securities Course Exam, or other Canadian exams.
- CAMS certification is a plus.
WHAT YOU CAN EXPECT FROM MORGAN STANLEY:
At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.
Expected base pay rates for the role will be between $80,000 and $115,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.
Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.
Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.
Compliance Associate Job Roles in New York
See all 899+ Compliance Associate Jobs in New York
Sign up for free to filter by visa type, set job alerts, and find employers with verified sponsorship history.
Search Compliance Associate Jobs in New YorkCompliance Associate Jobs in New York: Frequently Asked Questions
Which companies sponsor visas for compliance associates in New York?
Large financial institutions are the most consistent sponsors for compliance associate roles in New York. JPMorgan Chase, Citigroup, Goldman Sachs, Morgan Stanley, and Bank of America regularly file H-1B visa petitions for compliance staff. Global law firms, insurance companies such as MetLife and AIG, and major consulting firms including Deloitte and PwC also have active sponsorship track records for this role category.
Which visa types are most common for compliance associate roles in New York?
The H-1B is the most common visa for compliance associates in New York, as the role generally qualifies as a specialty occupation requiring a bachelor's degree in a relevant field such as finance, law, or accounting. Candidates already holding OPT or STEM OPT through a U.S. university may work while an H-1B petition is pending. L-1B intracompany transfers are also used when a candidate transfers from a foreign office of the same employer.
Which cities in New York have the most compliance associate sponsorship jobs?
New York City, specifically Manhattan, accounts for the overwhelming majority of compliance associate sponsorship opportunities in the state. The concentration of global banks, broker-dealers, asset managers, and insurance firms in the Financial District and Midtown makes it the primary hub. Buffalo and Albany have a smaller but present compliance market tied to regional banks and state regulatory agencies, though sponsorship activity there is far less frequent.
How to find compliance associate visa sponsorship jobs in New York?
Migrate Mate is built specifically for international candidates and filters compliance associate roles in New York by visa sponsorship availability, saving you from applying to positions that won't support your work authorization. Because sponsorship is confirmed at the listing level, you can focus your efforts on employers already open to candidates requiring H-1B or other visa support rather than discovering that late in the process.
Are there any New York-specific considerations for compliance associate visa sponsorship?
New York's Department of Financial Services adds a layer of regulatory complexity that employers value in compliance staff, which strengthens the case for sponsoring experienced candidates. The state's prevailing wage requirements under the H-1B program apply to all sponsored roles, and New York City's cost of living means prevailing wages for compliance associates here are among the highest posted nationally in DOL Labor Condition Applications. Candidates from universities such as NYU, Columbia, and Fordham Law often enter compliance pipelines with employer relationships already established.
What is the prevailing wage for sponsored compliance associate jobs in New York?
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.