Compliance Associate Visa Sponsorship Jobs in Ohio
Ohio's compliance associate roles are concentrated in Columbus, Cleveland, and Cincinnati, where financial services firms, healthcare systems, and insurance companies maintain large compliance teams. Employers including JPMorgan Chase, KeyBank, Nationwide, and Fifth Third Bank have sponsored work visas for compliance professionals, making Ohio a practical target state for international candidates in this field.
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127 Public Square, Cleveland Ohio
The Compliance Control Room Analyst/Officer is responsible for assisting in the day-to-day operations of the KBCM Control Room, including maintaining the firm's information barrier program, managing restricted and watch lists, reviewing transactions for potential conflicts of interest, and ensuring compliance with all applicable federal securities laws, FINRA rules, and firm policies and procedures.
This role serves as a critical liaison between the Investment Banking, Capital Markets, Research, and Sales & Trading departments and the Compliance function, helping to ensure the firm's business activities are conducted in compliance with regulatory requirements governing the handling and control of material non-public information (MNPI). The position reports to the Deputy Chief Compliance Officer of KBCM.
Key Responsibilities
Information Barrier & MNPI Management:
- Administer and maintain the firm's Watch List and Restricted List, ensuring timely additions, modifications, and removals based on deal activity and MNPI flows.
- Monitor, advise on, and document all wall crossings, ensuring appropriate controls and approvals are in place before confidential information is shared across information barriers.
- Track deal teams and ensure personnel with access to MNPI are properly identified and restricted from trading or tipping.
Conflicts of Interest & Deal Review:
- Conduct conflict-of-interest reviews for KBCM investment banking transactions, new business engagements, and capital markets activities, escalating issues as appropriate.
- Review potential conflicts between Research, Investment Banking, and Sales & Trading activities and ensure proper mitigation measures are applied.
- Maintain and update the firm's conflicts monitoring system with accurate, real-time information.
Research & Regulatory Compliance:
- Review equity and fixed income research publications for compliance with applicable regulations, including FINRA Rules 2241 and 2242, SEC Rules 137, 138, 139, Regulation AC, and Regulation M.
- Chaperone interactions between Investment Banking and Research departments to ensure compliance with KBCM's information barrier policies.
- Monitor for compliance with Regulation FD and other disclosure-related requirements.
Employee Trading & Personal Account Dealing:
- Assist with the review and approval of personal trade preclearance requests for covered employees.
- Support administration of the firm's employee trading compliance program, including monitoring for potential insider trading and front-running.
- Assist with FINRA Rule 3210 compliance (employee accounts at other firms).
Policies, Procedures & Training:
- Assist in the development, maintenance, and enforcement of Control Room policies, procedures, and written supervisory procedures (WSPs).
- Deliver training and guidance to KBCM business partners on information barrier obligations, MNPI handling, and conflicts of interest.
- Support internal and regulatory audits, examinations, and inquiries (SEC, FINRA), providing subject matter expertise and documentation as needed.
Surveillance & Reporting:
- Conduct ongoing surveillance of employee activities for potential information barrier breaches or violations of firm policy.
- Prepare management reports and metrics on Control Room activities, escalations, and trends for Deputy CCO and senior compliance leadership.
- Identify opportunities for process improvement and technology enhancements within Control Room operations.
Qualifications
Required
- Bachelor's degree in Finance, Business, Economics, Legal Studies, or related field.
- 3–7 years of compliance, legal, or control room experience within a broker-dealer, investment bank, or regulatory authority.
- Working knowledge of federal securities laws and regulations, including the Securities Act of 1933, the Securities Exchange Act of 1934, and applicable SEC and FINRA rules.
- Familiarity with information barrier requirements, MNPI handling, and conflict-of-interest frameworks.
- Strong analytical, organizational, and written/verbal communication skills.
Preferred
- Direct experience administering Watch/Restricted Lists, wall crossings, and deal-team tracking.
- Experience with research review and familiarity with FINRA Rules 2241/2242, Regulation AC, Regulation M, and Regulation FD.
- Proficiency with compliance technology platforms (e.g., StarCompliance, MCO/MyComplianceOffice, STAR, or similar control room software).
- Experience supporting regulatory examinations (SEC, FINRA).
COMPENSATION AND BENEFITS
This position is eligible to earn a base salary in the range of $96,000.00 - $181,000.00 annually. Placement within the pay range may differ based upon various factors, including but not limited to skills, experience and geographic location. Compensation for this role also includes eligibility for incentive compensation which may include production, commission, and/or discretionary incentives.
Key has implemented an approach to employee workspaces which prioritizes in-office presence, while providing flexible options in circumstances where roles can be performed effectively in a mobile environment.
Job Posting Expiration Date: 08/26/2026
KeyCorp is an Equal Opportunity Employer committed to sustaining an inclusive culture. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, genetic information, pregnancy, disability, veteran status or any other characteristic protected by law.
Qualified individuals with disabilities or disabled veterans who are unable or limited in their ability to apply on this site may request reasonable accommodations by emailing HR_Compliance@keybank.com.
LI-Hybrid
Location:
127 Public Square, Cleveland Ohio
The Compliance Control Room Analyst/Officer is responsible for assisting in the day-to-day operations of the KBCM Control Room, including maintaining the firm's information barrier program, managing restricted and watch lists, reviewing transactions for potential conflicts of interest, and ensuring compliance with all applicable federal securities laws, FINRA rules, and firm policies and procedures.
This role serves as a critical liaison between the Investment Banking, Capital Markets, Research, and Sales & Trading departments and the Compliance function, helping to ensure the firm's business activities are conducted in compliance with regulatory requirements governing the handling and control of material non-public information (MNPI). The position reports to the Deputy Chief Compliance Officer of KBCM.
Key Responsibilities
Information Barrier & MNPI Management:
- Administer and maintain the firm's Watch List and Restricted List, ensuring timely additions, modifications, and removals based on deal activity and MNPI flows.
- Monitor, advise on, and document all wall crossings, ensuring appropriate controls and approvals are in place before confidential information is shared across information barriers.
- Track deal teams and ensure personnel with access to MNPI are properly identified and restricted from trading or tipping.
Conflicts of Interest & Deal Review:
- Conduct conflict-of-interest reviews for KBCM investment banking transactions, new business engagements, and capital markets activities, escalating issues as appropriate.
- Review potential conflicts between Research, Investment Banking, and Sales & Trading activities and ensure proper mitigation measures are applied.
- Maintain and update the firm's conflicts monitoring system with accurate, real-time information.
Research & Regulatory Compliance:
- Review equity and fixed income research publications for compliance with applicable regulations, including FINRA Rules 2241 and 2242, SEC Rules 137, 138, 139, Regulation AC, and Regulation M.
- Chaperone interactions between Investment Banking and Research departments to ensure compliance with KBCM's information barrier policies.
- Monitor for compliance with Regulation FD and other disclosure-related requirements.
Employee Trading & Personal Account Dealing:
- Assist with the review and approval of personal trade preclearance requests for covered employees.
- Support administration of the firm's employee trading compliance program, including monitoring for potential insider trading and front-running.
- Assist with FINRA Rule 3210 compliance (employee accounts at other firms).
Policies, Procedures & Training:
- Assist in the development, maintenance, and enforcement of Control Room policies, procedures, and written supervisory procedures (WSPs).
- Deliver training and guidance to KBCM business partners on information barrier obligations, MNPI handling, and conflicts of interest.
- Support internal and regulatory audits, examinations, and inquiries (SEC, FINRA), providing subject matter expertise and documentation as needed.
Surveillance & Reporting:
- Conduct ongoing surveillance of employee activities for potential information barrier breaches or violations of firm policy.
- Prepare management reports and metrics on Control Room activities, escalations, and trends for Deputy CCO and senior compliance leadership.
- Identify opportunities for process improvement and technology enhancements within Control Room operations.
Qualifications
Required
- Bachelor's degree in Finance, Business, Economics, Legal Studies, or related field.
- 3–7 years of compliance, legal, or control room experience within a broker-dealer, investment bank, or regulatory authority.
- Working knowledge of federal securities laws and regulations, including the Securities Act of 1933, the Securities Exchange Act of 1934, and applicable SEC and FINRA rules.
- Familiarity with information barrier requirements, MNPI handling, and conflict-of-interest frameworks.
- Strong analytical, organizational, and written/verbal communication skills.
Preferred
- Direct experience administering Watch/Restricted Lists, wall crossings, and deal-team tracking.
- Experience with research review and familiarity with FINRA Rules 2241/2242, Regulation AC, Regulation M, and Regulation FD.
- Proficiency with compliance technology platforms (e.g., StarCompliance, MCO/MyComplianceOffice, STAR, or similar control room software).
- Experience supporting regulatory examinations (SEC, FINRA).
COMPENSATION AND BENEFITS
This position is eligible to earn a base salary in the range of $96,000.00 - $181,000.00 annually. Placement within the pay range may differ based upon various factors, including but not limited to skills, experience and geographic location. Compensation for this role also includes eligibility for incentive compensation which may include production, commission, and/or discretionary incentives.
Key has implemented an approach to employee workspaces which prioritizes in-office presence, while providing flexible options in circumstances where roles can be performed effectively in a mobile environment.
Job Posting Expiration Date: 08/26/2026
KeyCorp is an Equal Opportunity Employer committed to sustaining an inclusive culture. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, genetic information, pregnancy, disability, veteran status or any other characteristic protected by law.
Qualified individuals with disabilities or disabled veterans who are unable or limited in their ability to apply on this site may request reasonable accommodations by emailing HR_Compliance@keybank.com.
LI-Hybrid
Compliance Associate Job Roles in Ohio
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Search Compliance Associate Jobs in OhioCompliance Associate Jobs in Ohio: Frequently Asked Questions
Which companies sponsor visas for compliance associates in Ohio?
Financial services and healthcare employers account for a large share of compliance associate sponsorship activity in Ohio. JPMorgan Chase and KeyBank in Cleveland, Nationwide and JPMorgan's Columbus operations, and Fifth Third Bank in Cincinnati have filed Labor Condition Applications for compliance roles. Large healthcare systems including OhioHealth and Cleveland Clinic also maintain compliance teams that have supported visa petitions for qualified candidates.
Which visa types are most common for compliance associate roles in Ohio?
The H-1B visa is the most common visa category for compliance associates in Ohio, as the role typically requires a bachelor's degree in finance, law, business, or a related field, satisfying the specialty occupation standard. Candidates with Canadian or Mexican citizenship may qualify for the TN visa under the NAFTA/USMCA professional categories. Australian citizens can explore the E-3 visa as an alternative to the H-1B lottery process.
Which cities in Ohio have the most compliance associate sponsorship jobs?
Columbus, Cleveland, and Cincinnati generate the most compliance associate sponsorship activity in Ohio. Columbus benefits from its concentration of insurance carriers and financial institutions, including Nationwide and JPMorgan. Cleveland is home to KeyBank and major healthcare employers. Cincinnati houses Fifth Third Bank and a cluster of consumer goods and financial firms. Smaller markets like Toledo and Dayton offer fewer openings but do have compliance hiring in healthcare and manufacturing.
How to find compliance associate visa sponsorship jobs in Ohio?
Migrate Mate filters job listings specifically by visa sponsorship status, so you can search compliance associate roles in Ohio without sorting through positions that exclude international candidates. The platform surfaces employers who have an active sponsorship history, which is particularly useful in Ohio where financial services and healthcare firms hire across Columbus, Cleveland, and Cincinnati. Filtering by state and role on Migrate Mate narrows results to what is actually relevant to your situation.
Are there any Ohio-specific considerations for compliance associates seeking visa sponsorship?
Ohio's compliance hiring is heavily tied to its financial services sector, meaning employers are often familiar with H-1B sponsorship processes, which can simplify the process compared to industries with less international hiring history. Ohio does not impose state-level visa sponsorship requirements beyond federal obligations. Candidates with degrees from Ohio universities such as Ohio State, Case Western Reserve, or the University of Cincinnati sometimes have an easier time connecting with in-state employers already familiar with those institutions' international graduate pipelines.
What is the prevailing wage for sponsored compliance associate jobs in Ohio?
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.