Broker Jobs in USA with Visa Sponsorship
Broker roles in securities, real estate, and insurance qualify as specialty occupations under H-1B visa, making visa sponsorship achievable for candidates with a directly related bachelor's degree. Firms that file Labor Condition Applications with DOL signal active sponsorship intent, and the absence of an annual cap on the E-3 visa makes Australian brokers particularly well-positioned.
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Get Access To All JobsLocation: Southlake, TX ; Chicago, IL
Requisition ID 2026-129889
Category Legal & Compliance
Position type Regular
Pay range USD $120,000.00 - $165,000.00 / Year
Application deadline 2026-11-13
Your opportunity
At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together. We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in one of the specified locations. Join a highly visible Compliance team that helps protect client trust and the integrity of Schwab’s broker-dealer business. As the Senior Manager, Compliance – Broker-Dealer Program Lead, you will help shape and strengthen the compliance program for Charles Schwab & Co., Inc. (CS&Co), with a particular focus on FINRA Rules 3120 and 3130.
This is an opportunity to lead work that matters across the firm. You will bring together regulatory insight, strategic thinking, and strong partnerships to support key broker-dealer obligations, enhance the program’s supporting infrastructure, and provide senior and executive leaders with clear perspectives on compliance risk. Your work will help Schwab anticipate evolving expectations, strengthen controls, and make informed decisions while continuing to serve clients with integrity.
In this role, you will:
- Lead critical deliverables associated with Schwab’s broker-dealer compliance program and applicable regulatory obligations.
- Develop meaningful reporting and presentations for senior and executive leadership.
- Guide the governance of designated supervisory principal information and related program requirements.
- Strengthen the processes, tools, controls, and infrastructure that support the program.
- Create training and communication strategies that help Compliance colleagues understand and fulfill program responsibilities.
- Identify opportunities to modernize the program, improve effectiveness, and respond to changing business and regulatory needs.
- Evaluate internal and external control inputs to help ensure compliance risks are appropriately identified and addressed.
- Build strong partnerships across Schwab Compliance, Corporate Risk Management, Internal Audit, and first-line business teams.
You will gain broad exposure to Schwab’s business and risk functions while collaborating with colleagues across multiple lines of defense. For a compliance professional who enjoys solving complex problems, influencing at senior levels, and turning regulatory expectations into sustainable business practices, this role offers a meaningful opportunity to grow and make an enterprise-wide impact.
What you have
Required Qualifications:
- 7 or more years of financial services industry experience, including at least five years in a Compliance or Risk role.
- Working knowledge of broker-dealer regulatory standards.
- Experience leading projects or cross-functional initiatives with defined deliverables, stakeholders, and accountability.
- Experience managing multiple concurrent initiatives and deadlines.
- Experience creating written communications, reports, or presentations for business or leadership audiences.
- Experience working with cross-functional partners to implement process, control, or organizational change.
- Experience evaluating compliance or risk issues and providing an independent risk management perspective.
Preferred Qualifications:
- FINRA Series 7 license.
- FINRA Series 24 license.
- Knowledge of FINRA Rules 3120 and 3130.
- Experience supporting a broker-dealer compliance program.
- Experience preparing compliance or risk reporting for senior or executive leadership.
- Experience developing compliance training or communication strategies.
- Experience partnering with Corporate Risk Management, Internal Audit, or first-line business teams.
- Experience improving compliance processes, controls, tools, or supporting infrastructure.
What’s in it for you
At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.
We offer a competitive benefits package that takes care of the whole you – both today and in the future:
- 401(k) with company match and Employee stock purchase plan
- Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
- Paid parental leave and family building benefits
- Tuition reimbursement
- Health, dental, and vision insurance
Eligible Schwabbies receive
- Medical, dental and vision benefits
- 401(k) and employee stock purchase plans
- Tuition reimbursement to keep developing your career
- Paid parental leave and adoption/family building benefits
- Sabbatical leave available after five years of employment
Location: Southlake, TX ; Chicago, IL
Requisition ID 2026-129889
Category Legal & Compliance
Position type Regular
Pay range USD $120,000.00 - $165,000.00 / Year
Application deadline 2026-11-13
Your opportunity
At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together. We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in one of the specified locations. Join a highly visible Compliance team that helps protect client trust and the integrity of Schwab’s broker-dealer business. As the Senior Manager, Compliance – Broker-Dealer Program Lead, you will help shape and strengthen the compliance program for Charles Schwab & Co., Inc. (CS&Co), with a particular focus on FINRA Rules 3120 and 3130.
This is an opportunity to lead work that matters across the firm. You will bring together regulatory insight, strategic thinking, and strong partnerships to support key broker-dealer obligations, enhance the program’s supporting infrastructure, and provide senior and executive leaders with clear perspectives on compliance risk. Your work will help Schwab anticipate evolving expectations, strengthen controls, and make informed decisions while continuing to serve clients with integrity.
In this role, you will:
- Lead critical deliverables associated with Schwab’s broker-dealer compliance program and applicable regulatory obligations.
- Develop meaningful reporting and presentations for senior and executive leadership.
- Guide the governance of designated supervisory principal information and related program requirements.
- Strengthen the processes, tools, controls, and infrastructure that support the program.
- Create training and communication strategies that help Compliance colleagues understand and fulfill program responsibilities.
- Identify opportunities to modernize the program, improve effectiveness, and respond to changing business and regulatory needs.
- Evaluate internal and external control inputs to help ensure compliance risks are appropriately identified and addressed.
- Build strong partnerships across Schwab Compliance, Corporate Risk Management, Internal Audit, and first-line business teams.
You will gain broad exposure to Schwab’s business and risk functions while collaborating with colleagues across multiple lines of defense. For a compliance professional who enjoys solving complex problems, influencing at senior levels, and turning regulatory expectations into sustainable business practices, this role offers a meaningful opportunity to grow and make an enterprise-wide impact.
What you have
Required Qualifications:
- 7 or more years of financial services industry experience, including at least five years in a Compliance or Risk role.
- Working knowledge of broker-dealer regulatory standards.
- Experience leading projects or cross-functional initiatives with defined deliverables, stakeholders, and accountability.
- Experience managing multiple concurrent initiatives and deadlines.
- Experience creating written communications, reports, or presentations for business or leadership audiences.
- Experience working with cross-functional partners to implement process, control, or organizational change.
- Experience evaluating compliance or risk issues and providing an independent risk management perspective.
Preferred Qualifications:
- FINRA Series 7 license.
- FINRA Series 24 license.
- Knowledge of FINRA Rules 3120 and 3130.
- Experience supporting a broker-dealer compliance program.
- Experience preparing compliance or risk reporting for senior or executive leadership.
- Experience developing compliance training or communication strategies.
- Experience partnering with Corporate Risk Management, Internal Audit, or first-line business teams.
- Experience improving compliance processes, controls, tools, or supporting infrastructure.
What’s in it for you
At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.
We offer a competitive benefits package that takes care of the whole you – both today and in the future:
- 401(k) with company match and Employee stock purchase plan
- Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
- Paid parental leave and family building benefits
- Tuition reimbursement
- Health, dental, and vision insurance
Eligible Schwabbies receive
- Medical, dental and vision benefits
- 401(k) and employee stock purchase plans
- Tuition reimbursement to keep developing your career
- Paid parental leave and adoption/family building benefits
- Sabbatical leave available after five years of employment
See all 132+ Broker Jobs
Sign up for free to unlock all listings, filter by visa type, and get alerts for new Broker roles.
Get Access To All JobsTips for Finding Broker Jobs
Align your degree to your brokerage specialty
USCIS scrutinizes whether your degree field directly relates to your broker role. A finance or economics degree supports securities positions cleanly, but a general business degree may require supplemental coursework documentation to establish the specialty occupation connection.
Obtain your FINRA or state license early
Many broker roles require Series 7, Series 63, or a state insurance license before an employer will file your LCA. Clearing these exams before you're on the job market removes a common sponsorship delay employers cite when withdrawing offers.
Target firms with active LCA filing histories
Use Migrate Mate to find brokerage and financial services employers with verified DOL LCA sponsorship records for broker roles, so you're applying to firms that have already committed to the filing process rather than those new to sponsorship.
Verify your offered wage against DOL prevailing rates
Your employer's LCA must certify your salary meets the DOL prevailing wage for your brokerage role and location. Use the OFLC Wage Search to confirm before accepting an offer, since commissions-heavy structures sometimes produce a base wage that falls below the required threshold.
Clarify commission structure in your offer letter
H-1B prevailing wage obligations apply to base salary, but employment agreements that mix base and commission can complicate LCA compliance. Ask your employer to explicitly state your guaranteed base in the offer letter so the DOL filing reflects the correct wage basis.
File the LCA before your start date, not after
DOL must certify the LCA before USCIS can accept the I-129 petition. Broker hiring timelines are often fast-moving, so confirm your employer has initiated FLAG submission at least three weeks before your intended start to avoid compliance gaps.
Frequently Asked Questions
Do broker roles qualify as specialty occupations for H-1B sponsorship?
Yes, securities, real estate, and insurance broker roles generally qualify as specialty occupations because they typically require a bachelor's degree in finance, economics, business, or a directly related field. USCIS evaluates whether the specific position, not just the job title, requires that theoretical and practical application of specialized knowledge. A role that accepts any degree, regardless of field, can fail the specialty occupation test.
Which visas can cover a sponsored broker position?
H-1B is the most common path for broker roles, requiring a specialty occupation degree and an employer-filed LCA with DOL. Australian nationals can use the E-3, which has no lottery and allows unlimited two-year renewals. TN visa status is available to Canadian and Mexican nationals, but broker roles are not on the USMCA profession list, so TN does not apply to this occupation.
How do I find brokerage employers willing to sponsor visas?
Migrate Mate lists brokerage and financial services employers with verified LCA sponsorship histories for broker roles, so you can focus your applications on firms that have already filed for candidates in your occupation rather than starting from scratch.
Does holding a FINRA license strengthen my H-1B case?
Holding a Series 7 or Series 63 license doesn't directly satisfy the specialty occupation requirement, which depends on your degree field, but it removes a practical barrier many employers cite before initiating sponsorship. Firms are more likely to begin the LCA and I-129 process once you've cleared licensing, since it confirms you can legally execute the role in that state.
Can my employer use premium processing for a broker H-1B petition?
Yes, employers can file Form I-907 with USCIS to request premium processing, which guarantees a decision within 15 business days rather than the standard timeline. For broker roles with time-sensitive client-facing start dates, premium processing is a practical option, though the additional fee is typically the employer's cost. Check USCIS for current premium processing fee amounts before filing.
What is the prevailing wage requirement for sponsored Broker jobs?
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.