Compliance Lead Visa Sponsorship Jobs in New York
Compliance lead roles in New York attract strong international hiring, particularly across financial services firms in Manhattan, insurance carriers in Midtown, and fintech companies in Hudson Square. Major employers including JPMorgan Chase, Citigroup, and Goldman Sachs have active compliance functions and established visa sponsorship programs for qualified candidates at the lead level.
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Get Access To All JobsCompany Description
Wise is a global technology company, building the best way to move and manage the world’s money.
Min fees. Max ease. Full speed.
Whether people and businesses are sending money to another country, spending abroad, or making and receiving international payments, Wise is on a mission to make their lives easier and save them money.
As part of our team, you will be helping us create an entirely new network for the world's money.
For everyone, everywhere.
Job Description
Since 2011, we’ve had a clear mission: money without borders. Built by and for people who live global lives, we’re the fairest, easiest way to manage money across borders.
Wise is scaling its Assets offering across North America, and we are looking for a Lead Compliance Manager to provide senior compliance leadership and oversight for Wise’s North America Assets entities, including Wise US Assets Inc. and Wise Assets Canada Inc.
This is a critical L7 role responsible for leading the development, implementation, and ongoing oversight of the broker-dealer compliance program for Wise US Assets Inc., while also supporting broader Assets regulatory and operational readiness across North America. The role will provide strong second line compliance challenge, regulatory engagement, governance, and cross-functional advisory support as Wise builds and scales its Assets product.
The successful candidate will operate with a high degree of independence, partnering closely with Legal, Product, Engineering, Banking, Operations, Customer Support, Financial Crime, and senior leadership to embed regulatory requirements into product design, systems, controls, and operating processes.
Your mission:
Lead and scale institutional-grade compliance oversight for Wise’s North America Assets entities by building strong broker-dealer compliance foundations, leading regulatory engagement, supporting licensing and registration outcomes, embedding supervisory and operational controls, and enabling compliant product launch and growth across the U.S. and Canada.
Key responsibilities:
- Lead the design, implementation, and ongoing oversight of the compliance framework, policies, procedures, and governance for Wise’s FINRA-regulated broker-dealer US Assets Inc. and broader North America Assets activity (including the launch of an investment dealer in Canada).
- Own and provide senior 2LoD oversight of the U.S. broker-dealer compliance program, including supervisory controls, Written Supervisory Procedures, books and records, complaints, customer communications, and operational readiness.
- Serve as, or support, the designated AML Officer for Wise US Assets Inc., ensuring AML requirements are embedded into relevant processes and risks are appropriately escalated.
- Lead regulatory engagement with FINRA, the SEC, state regulators, and other relevant authorities, including examinations, inquiries, filings, remediation, and regulatory communications.
- Oversee the state registration and licensing program for Wise US Assets Inc., including submission quality, response management, prioritisation, tracking, and launch-readiness dependencies.
- Provide senior compliance advice and challenge to Product, Engineering, Legal, Banking, Operations, Customer Support, Financial Crime, and other 1LoD teams to support compliant product design, launch, and scaling.
- Build and oversee compliance readiness for customer support, complaints, disclosures, marketing, recordkeeping, business continuity, and other broker-dealer operating processes.
- Lead compliance reporting to senior leadership and relevant regional and group governance forums, including risks, issues, metrics, regulatory updates, and launch-readiness status.
- Develop and oversee monitoring, testing, issue management, and escalation processes for the broker-dealer compliance control framework.
- Support the build-out of sustainable compliance coverage across North America Assets, including mentoring team members and helping shape the future U.S. and Canada operating model.
A bit about you:
You are an experienced compliance leader with deep broker-dealer regulatory knowledge, strong judgment, and the ability to operate independently in a fast-moving, product-led environment.
You can move between detailed regulatory requirements and senior-level strategic decision-making. You are comfortable building compliance frameworks from the ground up, engaging directly with regulators, challenging senior stakeholders, and enabling compliant growth without compromising second line independence.
You are practical, solutions-oriented, highly organised, and able to bring structure to ambiguity.
Qualifications
- 12+ years of relevant experience in broker-dealer regulatory compliance, investment compliance, or equivalent regulated financial services compliance.
- Strong working knowledge of FINRA and SEC rules, broker-dealer supervisory expectations, and regulatory examination standards.
- Active FINRA Series 7, 24, and 63 registrations required.
- Demonstrated experience leading regulatory engagement, including examinations, inquiries, licensing, registrations, approvals, or remediation activity.
- Experience building, operating, or materially enhancing a broker-dealer compliance program.
- Strong understanding of second line compliance oversight, including independent challenge, escalation, governance, monitoring, testing, and issue management.
- Ability to translate complex regulatory obligations into practical, risk-based requirements for Product, Engineering, Operations, Customer Support, and other cross-functional teams.
- Experience advising on product launches, operational readiness, customer communications, complaints, books and records, supervisory controls, or similar broker-dealer obligations.
- Strong stakeholder management skills, including the ability to work effectively with senior leadership, regulators, external counsel, consultants, and cross-functional teams.
- Ability to manage multiple priorities, lead complex workstreams, and deliver outcomes in ambiguity.
- Demonstrated ability to mentor others and contribute to the build-out of a sustainable compliance operating model.
- Experience with Canadian investment or Assets-related regulatory requirements is a plus, but not required.
Additional Information
For everyone, everywhere. We're people building money without borders — without judgement or prejudice, too. We believe teams are strongest when they are diverse, equitable and inclusive.
We're proud to have a truly international team, and we celebrate our differences.
Inclusive teams help us live our values and make sure every Wiser feels respected, empowered to contribute towards our mission and able to progress in their careers.
Company Description
Wise is a global technology company, building the best way to move and manage the world’s money.
Min fees. Max ease. Full speed.
Whether people and businesses are sending money to another country, spending abroad, or making and receiving international payments, Wise is on a mission to make their lives easier and save them money.
As part of our team, you will be helping us create an entirely new network for the world's money.
For everyone, everywhere.
Job Description
Since 2011, we’ve had a clear mission: money without borders. Built by and for people who live global lives, we’re the fairest, easiest way to manage money across borders.
Wise is scaling its Assets offering across North America, and we are looking for a Lead Compliance Manager to provide senior compliance leadership and oversight for Wise’s North America Assets entities, including Wise US Assets Inc. and Wise Assets Canada Inc.
This is a critical L7 role responsible for leading the development, implementation, and ongoing oversight of the broker-dealer compliance program for Wise US Assets Inc., while also supporting broader Assets regulatory and operational readiness across North America. The role will provide strong second line compliance challenge, regulatory engagement, governance, and cross-functional advisory support as Wise builds and scales its Assets product.
The successful candidate will operate with a high degree of independence, partnering closely with Legal, Product, Engineering, Banking, Operations, Customer Support, Financial Crime, and senior leadership to embed regulatory requirements into product design, systems, controls, and operating processes.
Your mission:
Lead and scale institutional-grade compliance oversight for Wise’s North America Assets entities by building strong broker-dealer compliance foundations, leading regulatory engagement, supporting licensing and registration outcomes, embedding supervisory and operational controls, and enabling compliant product launch and growth across the U.S. and Canada.
Key responsibilities:
- Lead the design, implementation, and ongoing oversight of the compliance framework, policies, procedures, and governance for Wise’s FINRA-regulated broker-dealer US Assets Inc. and broader North America Assets activity (including the launch of an investment dealer in Canada).
- Own and provide senior 2LoD oversight of the U.S. broker-dealer compliance program, including supervisory controls, Written Supervisory Procedures, books and records, complaints, customer communications, and operational readiness.
- Serve as, or support, the designated AML Officer for Wise US Assets Inc., ensuring AML requirements are embedded into relevant processes and risks are appropriately escalated.
- Lead regulatory engagement with FINRA, the SEC, state regulators, and other relevant authorities, including examinations, inquiries, filings, remediation, and regulatory communications.
- Oversee the state registration and licensing program for Wise US Assets Inc., including submission quality, response management, prioritisation, tracking, and launch-readiness dependencies.
- Provide senior compliance advice and challenge to Product, Engineering, Legal, Banking, Operations, Customer Support, Financial Crime, and other 1LoD teams to support compliant product design, launch, and scaling.
- Build and oversee compliance readiness for customer support, complaints, disclosures, marketing, recordkeeping, business continuity, and other broker-dealer operating processes.
- Lead compliance reporting to senior leadership and relevant regional and group governance forums, including risks, issues, metrics, regulatory updates, and launch-readiness status.
- Develop and oversee monitoring, testing, issue management, and escalation processes for the broker-dealer compliance control framework.
- Support the build-out of sustainable compliance coverage across North America Assets, including mentoring team members and helping shape the future U.S. and Canada operating model.
A bit about you:
You are an experienced compliance leader with deep broker-dealer regulatory knowledge, strong judgment, and the ability to operate independently in a fast-moving, product-led environment.
You can move between detailed regulatory requirements and senior-level strategic decision-making. You are comfortable building compliance frameworks from the ground up, engaging directly with regulators, challenging senior stakeholders, and enabling compliant growth without compromising second line independence.
You are practical, solutions-oriented, highly organised, and able to bring structure to ambiguity.
Qualifications
- 12+ years of relevant experience in broker-dealer regulatory compliance, investment compliance, or equivalent regulated financial services compliance.
- Strong working knowledge of FINRA and SEC rules, broker-dealer supervisory expectations, and regulatory examination standards.
- Active FINRA Series 7, 24, and 63 registrations required.
- Demonstrated experience leading regulatory engagement, including examinations, inquiries, licensing, registrations, approvals, or remediation activity.
- Experience building, operating, or materially enhancing a broker-dealer compliance program.
- Strong understanding of second line compliance oversight, including independent challenge, escalation, governance, monitoring, testing, and issue management.
- Ability to translate complex regulatory obligations into practical, risk-based requirements for Product, Engineering, Operations, Customer Support, and other cross-functional teams.
- Experience advising on product launches, operational readiness, customer communications, complaints, books and records, supervisory controls, or similar broker-dealer obligations.
- Strong stakeholder management skills, including the ability to work effectively with senior leadership, regulators, external counsel, consultants, and cross-functional teams.
- Ability to manage multiple priorities, lead complex workstreams, and deliver outcomes in ambiguity.
- Demonstrated ability to mentor others and contribute to the build-out of a sustainable compliance operating model.
- Experience with Canadian investment or Assets-related regulatory requirements is a plus, but not required.
Additional Information
For everyone, everywhere. We're people building money without borders — without judgement or prejudice, too. We believe teams are strongest when they are diverse, equitable and inclusive.
We're proud to have a truly international team, and we celebrate our differences.
Inclusive teams help us live our values and make sure every Wiser feels respected, empowered to contribute towards our mission and able to progress in their careers.
Compliance Lead Job Roles in New York
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Search Compliance Lead Jobs in New YorkCompliance Lead Jobs in New York: Frequently Asked Questions
Which companies sponsor visas for compliance leads in New York?
Large financial institutions are the most consistent sponsors for compliance lead roles in New York. JPMorgan Chase, Citigroup, Goldman Sachs, Morgan Stanley, and Bank of America all have established visa sponsorship programs and regularly file H-1B visa petitions for compliance professionals. Beyond banking, insurance groups like MetLife and AIG, along with fintech firms headquartered in New York, also sponsor compliance talent at the lead level.
Which visa types are most common for compliance lead roles in New York?
The H-1B is the most common visa category for compliance lead positions in New York, as the role typically requires a bachelor's degree or higher in law, finance, accounting, or a related field, satisfying the specialty occupation requirement. Candidates already authorized to work through L-1 visa transfers or O-1 visa petitions also appear in this market. Some employers will sponsor EB-2 or EB-3 green card petitions for compliance leads after an initial H-1B approval.
Which cities in New York have the most compliance lead sponsorship jobs?
Manhattan accounts for the overwhelming majority of compliance lead sponsorship opportunities in New York, driven by the concentration of global banks, broker-dealers, and asset managers along the Midtown and Lower Manhattan corridors. Buffalo and Albany see smaller but consistent demand from regional banks and state-regulated financial institutions. Remote-eligible compliance lead roles based in New York also appear, though most employers require on-site or hybrid presence given the regulatory oversight responsibilities of the role.
How to find compliance lead visa sponsorship jobs in New York?
Migrate Mate filters job listings specifically by visa sponsorship availability, making it straightforward to browse compliance lead openings in New York without sorting through roles that don't offer sponsorship. You can narrow results by location and role type to surface positions at financial institutions, insurance companies, and fintech firms actively hiring international candidates. Checking Migrate Mate regularly is useful because compliance lead openings at sponsoring employers tend to move quickly.
Are there state-specific considerations for compliance lead sponsorship in New York?
New York's Department of Financial Services adds a layer of regulatory complexity that shapes what employers look for in compliance leads, often favoring candidates with experience in state-chartered banking or insurance regulation. Because New York is a high-cost labor market, prevailing wage requirements under the H-1B program are calculated at correspondingly high levels, which influences which employers actively pursue sponsorship. Candidates with backgrounds in AML, BSA, or SEC compliance tend to have stronger sponsorship prospects given the density of federally regulated institutions in the state.
What is the prevailing wage for sponsored compliance lead 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.