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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Complete Compliance Risk Management activities throughout the enterprise for their assigned area of responsibility. The Compliance Advisor will help develop, implement, and execute strategy of the workflow and performance of personnel to ensure processes are completed in an accurate and timely manner. The Compliance Advisor operates under the firm’s second line of defense independent control function by executing program activities that prevent, detect and mitigate regulatory and compliance risk across the division.
PRIMARY RESPONSIBILITIES:
- Provide compliance oversight, support and guidance for Capital Markets, Commercial Banking, Institutional Broker-Dealer, Investment Banking, FOREX, and Derivatives products and personnel in accordance with fiduciary standards, applicable laws, rules, regulations, and regulatory expectations
- Analyze and assess risk and control environment and provide relevant SME credible challenge, advice, guidance and oversight in strengthening and developing risk mitigation strategies and necessary controls
- Provide SME advice and guidance relating to relevant employee conduct, and associated supervisory framework
- Interact with and assist in oversight of state, federal, domestic and possibly international regulatory relationships and examinations including the Federal Reserve, OCC, SEC, DOL, FINRA, CFPB, CFTC, State of New York, and/or the State of Delaware, as applicable
- Provide SME guidance on regulatory development implementation, including guidance related to policies/procedures, training, key risk indicators, governance, control implementation and supervisory framework needed
- Maintain M&T internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable
- Assist in development and manage divisional and enterprise-wide policies, standards, procedures, training and control standards designed to minimize regulatory exposure
- Identify, measure, respond, and escalate compliance risk issues to the Compliance Director and/or the Lines of Business (LOBs) as necessary
- Work with the Compliance Director to engage other Risk Departments, Internal Audit, Legal and/or Regulatory Affairs regarding interrelated risk issues impacting fiduciary, operational, credit, strategic, reputation, market, liquidity, interest rate and capital risks
- Interact with numerous risk and executive management, lines of Business, and support organizations such as Internal Audit and Legal on an ongoing basis to ensure the division is operating within the defined Enterprise risk framework and Board-mandated compliance risk tolerance
- Participate and provide expertise in relation to the Risk Assessment Process along with identifying potential enhancements where necessary
- Execute strategic priorities for the group as the Second Line of Defense, potentially impacting the enterprise, and ensure ongoing compliance across the division and enterprise
- Provide Second Line of Defense Credible Challenge to the Business line and senior management in assigned Line of Business by identifying, assessing, documenting, monitoring, and communicating risks, recommending solutions and evaluating ultimate resolution of such risks
- Demonstrate strong critical thinking and problem-solving skills with an ability to challenge/translate ambiguous issues into well-defined risk exposure statements and sustainable solutions
- Analyze and stay current on rules and regulations applicable to the use and sale of Capital Markets, Commercial Banking, Institutional Broker-Dealer, Investment Banking, FOREX, and Derivatives products and services Evaluate and provide guidance with other stakeholders on new and evolving business products and services from a fiduciary and regulatory compliance risk perspective
- Perform testing oversight, including the review of surveillance activities and focused forensic reviews to assess compliance risks and identify potential breaches
- Promote an environment that values diversity and reflects the M&T Bank brands
- Complete other related duties as assigned.
SPECIFIC TO POSTING – PROVIDE ADVICE, GUIDANCE AND OVERSIGHT TO ORGANIZATION AND 1ST LINE BUSINESS PARTNERS CONCERNING:
- Related and Relevant Policies, Procedures and Industry Best Practices
- Debt and Equity Capital Markets
- Real Estate Capital Markets
- Treasury Capital Markets
- Foreign Exchange
- Derivatives
- Commercial Banking
- Institutional Broker/Dealer
- Loan Trading
- M&A Advisory
- Leveraged Finance
- Controls, Policies and Procedures
- Compliance Risk Assessments
- Root Cause Analysis
- Internal and Employee Investigations
- Employee Conduct
- Training creation and Delivery
- Development and refinement of policies and procedures
- Interacting with Internal and External Examination Staff and assisting in responding to related findings/concerns
- Responsible Banking: Fair lending laws and regulation (federal and state); unfair, deceptive and abuse acts and practices (UDAAP)
- Governance: Issues management, examination management, reporting, risk assessment, quality control and assurance, budgeting, technology solutions, compliance training
- Relevant Rules and Regulations (Securities Act of 1933, Securities and Exchange Act of 1934, Investment Advisors Act of 1940, Investment Company Act of 1940, FINRA Rule and Regulations, CFTC, Dodd-Frank, Volcker, Reg 9, Reg R, etc.)
- Related Information Barrier/Employee Trading Rules, Regulations and Practices
- Related Privacy Rules, Regulations and Practices
- Private equity and private placements
- Trade Reporting, Best Execution, Order Flow and Soft Dollars
- Product Development and Review
- Regulatory Filings
- Drafting, providing advice, guidance and SME relating to customer disclosures
- Marketing Collateral review and challenge (as needed)
- Testing and Project Management: All CRM testing functions as well as enterprise testing support to other departments
- Enterprise: Laws and rules that apply across the enterprise, such as privacy rules, FCRA, TCPA, Reg W, the Volcker Rule, Reg O, Dodd-Frank, Sarbanes-Oxley, etc
- BSA/AML & OFAC: Laws and rules that apply to BSA/AML/Sanctions program including Customer Due Diligence, suspicious activity, OFAC and regulatory reporting.
EDUCATION AND EXPERIENCE REQUIRED:
Bachelor's Degree in related field.
6 years’ experience in compliance, legal, audit or risk
OR in lieu of degree,
A combined minimum 10 years higher education and/or work experience, including 6 years in compliance, legal, audit or risk
Working knowledge of relevant regulations, regulatory guidance and industry best practices
Experience providing guidance and credible challenge in relation to sales practices, supervisory structure and enhancement of supervisory framework
EDUCATION AND EXPERIENCE PREFERRED:
Thorough knowledge of operations, systems, and practices within subject matter business unit(s) (e.g. Fiduciary conduct standards)
Knowledge of relevant and related regulations, investment product knowledge, regulatory guidelines and expectations, industry best practices, and policies and procedures in responsible area
Capital Markets, Institutional Broker-Dealer, Investment Banking, FOREX, Derivatives and CFTC compliance and operational risk oversight experience preferred Proven track record in risk assessment and control oversight (including significant experience in identifying regulatory compliance and operational risks, control issues, implementing corrective actions and best practices).
COMPENSATION:
The pay range for this position is $109,300.00 - $182,100.00 Annual (USD). The successful candidate’s particular combination of knowledge, skills, and experience will inform their specific compensation.
LOCATION:
New York, New York, United States of America
Overview:
Complete Compliance Risk Management activities throughout the enterprise for their assigned area of responsibility. The Compliance Advisor will help develop, implement, and execute strategy of the workflow and performance of personnel to ensure processes are completed in an accurate and timely manner. The Compliance Advisor operates under the firm’s second line of defense independent control function by executing program activities that prevent, detect and mitigate regulatory and compliance risk across the division.
PRIMARY RESPONSIBILITIES:
- Provide compliance oversight, support and guidance for Capital Markets, Commercial Banking, Institutional Broker-Dealer, Investment Banking, FOREX, and Derivatives products and personnel in accordance with fiduciary standards, applicable laws, rules, regulations, and regulatory expectations
- Analyze and assess risk and control environment and provide relevant SME credible challenge, advice, guidance and oversight in strengthening and developing risk mitigation strategies and necessary controls
- Provide SME advice and guidance relating to relevant employee conduct, and associated supervisory framework
- Interact with and assist in oversight of state, federal, domestic and possibly international regulatory relationships and examinations including the Federal Reserve, OCC, SEC, DOL, FINRA, CFPB, CFTC, State of New York, and/or the State of Delaware, as applicable
- Provide SME guidance on regulatory development implementation, including guidance related to policies/procedures, training, key risk indicators, governance, control implementation and supervisory framework needed
- Maintain M&T internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable
- Assist in development and manage divisional and enterprise-wide policies, standards, procedures, training and control standards designed to minimize regulatory exposure
- Identify, measure, respond, and escalate compliance risk issues to the Compliance Director and/or the Lines of Business (LOBs) as necessary
- Work with the Compliance Director to engage other Risk Departments, Internal Audit, Legal and/or Regulatory Affairs regarding interrelated risk issues impacting fiduciary, operational, credit, strategic, reputation, market, liquidity, interest rate and capital risks
- Interact with numerous risk and executive management, lines of Business, and support organizations such as Internal Audit and Legal on an ongoing basis to ensure the division is operating within the defined Enterprise risk framework and Board-mandated compliance risk tolerance
- Participate and provide expertise in relation to the Risk Assessment Process along with identifying potential enhancements where necessary
- Execute strategic priorities for the group as the Second Line of Defense, potentially impacting the enterprise, and ensure ongoing compliance across the division and enterprise
- Provide Second Line of Defense Credible Challenge to the Business line and senior management in assigned Line of Business by identifying, assessing, documenting, monitoring, and communicating risks, recommending solutions and evaluating ultimate resolution of such risks
- Demonstrate strong critical thinking and problem-solving skills with an ability to challenge/translate ambiguous issues into well-defined risk exposure statements and sustainable solutions
- Analyze and stay current on rules and regulations applicable to the use and sale of Capital Markets, Commercial Banking, Institutional Broker-Dealer, Investment Banking, FOREX, and Derivatives products and services Evaluate and provide guidance with other stakeholders on new and evolving business products and services from a fiduciary and regulatory compliance risk perspective
- Perform testing oversight, including the review of surveillance activities and focused forensic reviews to assess compliance risks and identify potential breaches
- Promote an environment that values diversity and reflects the M&T Bank brands
- Complete other related duties as assigned.
SPECIFIC TO POSTING – PROVIDE ADVICE, GUIDANCE AND OVERSIGHT TO ORGANIZATION AND 1ST LINE BUSINESS PARTNERS CONCERNING:
- Related and Relevant Policies, Procedures and Industry Best Practices
- Debt and Equity Capital Markets
- Real Estate Capital Markets
- Treasury Capital Markets
- Foreign Exchange
- Derivatives
- Commercial Banking
- Institutional Broker/Dealer
- Loan Trading
- M&A Advisory
- Leveraged Finance
- Controls, Policies and Procedures
- Compliance Risk Assessments
- Root Cause Analysis
- Internal and Employee Investigations
- Employee Conduct
- Training creation and Delivery
- Development and refinement of policies and procedures
- Interacting with Internal and External Examination Staff and assisting in responding to related findings/concerns
- Responsible Banking: Fair lending laws and regulation (federal and state); unfair, deceptive and abuse acts and practices (UDAAP)
- Governance: Issues management, examination management, reporting, risk assessment, quality control and assurance, budgeting, technology solutions, compliance training
- Relevant Rules and Regulations (Securities Act of 1933, Securities and Exchange Act of 1934, Investment Advisors Act of 1940, Investment Company Act of 1940, FINRA Rule and Regulations, CFTC, Dodd-Frank, Volcker, Reg 9, Reg R, etc.)
- Related Information Barrier/Employee Trading Rules, Regulations and Practices
- Related Privacy Rules, Regulations and Practices
- Private equity and private placements
- Trade Reporting, Best Execution, Order Flow and Soft Dollars
- Product Development and Review
- Regulatory Filings
- Drafting, providing advice, guidance and SME relating to customer disclosures
- Marketing Collateral review and challenge (as needed)
- Testing and Project Management: All CRM testing functions as well as enterprise testing support to other departments
- Enterprise: Laws and rules that apply across the enterprise, such as privacy rules, FCRA, TCPA, Reg W, the Volcker Rule, Reg O, Dodd-Frank, Sarbanes-Oxley, etc
- BSA/AML & OFAC: Laws and rules that apply to BSA/AML/Sanctions program including Customer Due Diligence, suspicious activity, OFAC and regulatory reporting.
EDUCATION AND EXPERIENCE REQUIRED:
Bachelor's Degree in related field.
6 years’ experience in compliance, legal, audit or risk
OR in lieu of degree,
A combined minimum 10 years higher education and/or work experience, including 6 years in compliance, legal, audit or risk
Working knowledge of relevant regulations, regulatory guidance and industry best practices
Experience providing guidance and credible challenge in relation to sales practices, supervisory structure and enhancement of supervisory framework
EDUCATION AND EXPERIENCE PREFERRED:
Thorough knowledge of operations, systems, and practices within subject matter business unit(s) (e.g. Fiduciary conduct standards)
Knowledge of relevant and related regulations, investment product knowledge, regulatory guidelines and expectations, industry best practices, and policies and procedures in responsible area
Capital Markets, Institutional Broker-Dealer, Investment Banking, FOREX, Derivatives and CFTC compliance and operational risk oversight experience preferred Proven track record in risk assessment and control oversight (including significant experience in identifying regulatory compliance and operational risks, control issues, implementing corrective actions and best practices).
COMPENSATION:
The pay range for this position is $109,300.00 - $182,100.00 Annual (USD). The successful candidate’s particular combination of knowledge, skills, and experience will inform their specific compensation.
LOCATION:
New York, New York, United States of America
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 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 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.
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