Compliance Specialist Visa Sponsorship Jobs in Ohio
Ohio's compliance specialist market spans financial services firms in Columbus, healthcare systems in Cleveland and Cincinnati, and manufacturing operations across the state. Major employers like JPMorgan Chase, Cleveland Clinic, and Procter and Gamble have established sponsorship histories for compliance roles requiring specialized regulatory expertise.
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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 Specialist Job Roles in Ohio
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Search Compliance Specialist Jobs in OhioCompliance Specialist Jobs in Ohio: Frequently Asked Questions
Which companies sponsor visas for compliance specialists in Ohio?
Financial institutions and healthcare systems account for a significant share of compliance sponsorships in Ohio. JPMorgan Chase and Fifth Third Bank in Columbus and Cincinnati sponsor compliance professionals with regulatory and financial crime expertise. Cleveland Clinic and University Hospitals support compliance roles tied to healthcare regulations. Procter and Gamble and other large manufacturers in Cincinnati also sponsor for product and trade compliance positions.
Which visa types are most common for compliance specialist roles in Ohio?
The H-1B visa is the most common visa for compliance specialists in Ohio, as the role typically requires a bachelor's degree in law, finance, business, or a related field, meeting the specialty occupation standard. Compliance roles at multinational employers may also support L-1B transfers for employees with specialized internal knowledge. Candidates from Australia may qualify for the E-3 visa, and those from Canada or Mexico may qualify for TN visa status under the USMCA.
Which cities in Ohio have the most compliance specialist sponsorship jobs?
Columbus leads the state, driven by its concentration of financial institutions, insurance companies, and state government contractors. Cincinnati is a close second, with large consumer goods, healthcare, and banking employers. Cleveland's healthcare corridor, anchored by Cleveland Clinic and University Hospitals, generates consistent compliance demand. Toledo and Dayton contribute smaller but steady volumes through manufacturing and defense-sector employers with compliance staffing needs.
How to find compliance specialist visa sponsorship jobs in Ohio?
Migrate Mate filters job listings specifically to show roles where employers have a demonstrated history of visa sponsorship, which is particularly useful for compliance specialist positions in Ohio where not every posting is open to sponsored candidates. You can search by location to focus on Columbus, Cleveland, or Cincinnati, and filter by role to surface compliance-specific openings. This saves significant time compared to manually screening general job postings.
Are there any Ohio-specific considerations for compliance specialists seeking visa sponsorship?
Ohio's financial services concentration means many compliance roles fall under federal regulatory frameworks, including those enforced by the OCC and CFPB, which employers cite when justifying specialty occupation status for H-1B purposes. Ohio's public universities, including Ohio State and Case Western Reserve, produce compliance and legal graduates who compete for the same roles, so international candidates with niche regulatory expertise in areas like AML, healthcare compliance, or export controls often have a clearer path to sponsorship.
What is the prevailing wage for sponsored compliance specialist 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.