Compliance Consultant Visa Sponsorship Jobs in New York
New York's compliance consultant market is anchored in Manhattan's financial district, where banks like JPMorgan Chase, Citigroup, and Goldman Sachs regularly sponsor international professionals. Healthcare systems, fintech firms, and global consultancies in the metro area add further demand, making New York one of the most active states for compliance consultant visa sponsorship.
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Get Access To All JobsAt Kroll, you will provide expert compliance guidance to a diverse range of financial firms, including registered investment advisers, broker-dealers, and registered investment companies. You will work alongside accomplished senior staff, deepen your regulatory expertise, mentor junior team members, and deliver outstanding client service as part of an award-winning global team.
We are seeking a collaborative, client-focused professional with deep knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations, and the Investment Company Act of 1940 a plus. The ideal candidate manages multiple client relationships, delivers practical compliance solutions, stays current on regulatory developments, and contributes to team growth and culture.
Day-to-day responsibilities:
- Serve as the day-to-day client contact for compliance guidance and questions, managing and coordinating an internal team to ensure timely delivery of client deliverables
- Serve as Outsourced CCO for RIA and broker-dealer clients, overseeing compliance programs, codes of ethics, conflicts of interest, and regulatory filings (Form ADV, PF, BD; U4/U5) under the Advisers Act and applicable 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 (Investment Company Act)
- Advise clients on Advisers Act obligations including leading new registrations for RIAs and ERAs and regulatory exams or inquiries
- Support registered investment companies, closed-end funds, and BDCs on Investment Company Act compliance, board reporting, and co-investment relief matters
- Assist with SEC and/or FINRA regulatory inquiries
- Review marketing materials for FINRA and SEC compliance; support FINRA membership applications and mock regulatory examinations
- Monitor regulatory developments, SEC examination priorities, and enforcement trends affecting RIAs, broker-dealers, and registered funds
Essential Traits:
- 5–10+ years of compliance experience supporting RIAs, broker-dealers, and/or registered investment companies
- Strong working knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations, and the Investment Company Act of 1940
- Experience registering and managing compliance programs, including policies and procedures, testing, and regulatory filings (Form ADV, BD, U4/U5)
- Familiarity with SEC examination processes, FINRA oversight, and regulatory remediation
- Excellent client communication, team management, and organizational skills
- Ability to manage multiple client engagements independently while contributing to a collaborative team
- Bachelor's degree required; JD or MBA a plus; NFA/CFTC experience beneficial but not required
- Relevant industry certifications (CAMS, FINRA licenses etc.)
About Kroll
Join the global leader in risk and financial advisory solutions—Kroll. With a nearly century-long legacy, we blend trusted expertise with cutting-edge technology to navigate and redefine industry complexities. As a 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.
In order to be considered for a position, you 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.
Salary range: $90,000 - $175,000 USD
Job Type: Hybrid
At Kroll, you will provide expert compliance guidance to a diverse range of financial firms, including registered investment advisers, broker-dealers, and registered investment companies. You will work alongside accomplished senior staff, deepen your regulatory expertise, mentor junior team members, and deliver outstanding client service as part of an award-winning global team.
We are seeking a collaborative, client-focused professional with deep knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations, and the Investment Company Act of 1940 a plus. The ideal candidate manages multiple client relationships, delivers practical compliance solutions, stays current on regulatory developments, and contributes to team growth and culture.
Day-to-day responsibilities:
- Serve as the day-to-day client contact for compliance guidance and questions, managing and coordinating an internal team to ensure timely delivery of client deliverables
- Serve as Outsourced CCO for RIA and broker-dealer clients, overseeing compliance programs, codes of ethics, conflicts of interest, and regulatory filings (Form ADV, PF, BD; U4/U5) under the Advisers Act and applicable 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 (Investment Company Act)
- Advise clients on Advisers Act obligations including leading new registrations for RIAs and ERAs and regulatory exams or inquiries
- Support registered investment companies, closed-end funds, and BDCs on Investment Company Act compliance, board reporting, and co-investment relief matters
- Assist with SEC and/or FINRA regulatory inquiries
- Review marketing materials for FINRA and SEC compliance; support FINRA membership applications and mock regulatory examinations
- Monitor regulatory developments, SEC examination priorities, and enforcement trends affecting RIAs, broker-dealers, and registered funds
Essential Traits:
- 5–10+ years of compliance experience supporting RIAs, broker-dealers, and/or registered investment companies
- Strong working knowledge of the Investment Advisers Act of 1940, FINRA rules and regulations, and the Investment Company Act of 1940
- Experience registering and managing compliance programs, including policies and procedures, testing, and regulatory filings (Form ADV, BD, U4/U5)
- Familiarity with SEC examination processes, FINRA oversight, and regulatory remediation
- Excellent client communication, team management, and organizational skills
- Ability to manage multiple client engagements independently while contributing to a collaborative team
- Bachelor's degree required; JD or MBA a plus; NFA/CFTC experience beneficial but not required
- Relevant industry certifications (CAMS, FINRA licenses etc.)
About Kroll
Join the global leader in risk and financial advisory solutions—Kroll. With a nearly century-long legacy, we blend trusted expertise with cutting-edge technology to navigate and redefine industry complexities. As a 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.
In order to be considered for a position, you 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.
Salary range: $90,000 - $175,000 USD
Job Type: Hybrid
Compliance Consultant Job Roles in New York
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Search Compliance Consultant Jobs in New YorkCompliance Consultant Jobs in New York: Frequently Asked Questions
Which companies sponsor visas for compliance consultants in New York?
Large financial institutions are the most consistent sponsors, including JPMorgan Chase, Citigroup, Goldman Sachs, and Morgan Stanley, all headquartered or heavily staffed in Manhattan. Global consulting firms such as Deloitte, PwC, and KPMG also file H-1B visa petitions for compliance consultants in New York. Healthcare organizations and fintech companies have increasingly entered this space as regulatory requirements in those sectors have grown.
Which visa types are most common for compliance consultant roles in New York?
The H-1B is the most common visa category for compliance consultants in New York, as the role typically qualifies as a specialty occupation requiring a bachelor's degree or higher in a relevant field such as finance, accounting, law, or business. Candidates already holding L-1 visa status through an intracompany transfer and those on OPT or STEM OPT extensions also fill compliance consultant positions while pursuing longer-term sponsorship.
Which cities in New York have the most compliance consultant sponsorship jobs?
Manhattan concentrates the overwhelming majority of compliance consultant sponsorship activity in New York, driven by the density of financial services firms, law firms, and consulting practices in Midtown and Lower Manhattan. Buffalo and Albany have a smaller but present market tied to regional banks, insurance companies, and state regulatory agencies. Remote and hybrid arrangements have expanded access to New York-based roles for candidates located elsewhere in the state.
How to find compliance consultant visa sponsorship jobs in New York?
Migrate Mate filters job listings specifically by visa sponsorship availability, making it straightforward to browse compliance consultant roles in New York without sorting through positions that don't offer sponsorship. You can narrow results by location and role type to surface openings at financial institutions, consulting firms, and healthcare organizations actively hiring international candidates in the New York metro area.
Are there state-specific considerations for compliance consultant sponsorship in New York?
New York's Department of Financial Services imposes regulatory requirements that drive consistent demand for compliance professionals, which tends to support steady sponsorship activity from licensed financial entities in the state. Employers filing H-1B petitions must meet Department of Labor prevailing wage requirements specific to the New York metropolitan area, which reflect the region's cost of living. Candidates from university programs in New York City with finance or law concentrations often enter the compliance pipeline directly through employer recruiting relationships.
What is the prevailing wage for sponsored compliance consultant 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.