Chief Compliance Officer Jobs in USA with Visa Sponsorship
Chief Compliance Officer roles attract H-1B visa, O-1 visa, and EB-1 sponsorship from banks, healthcare systems, and publicly traded companies. Most employers require a law degree or advanced degree in finance, making this one of the stronger executive-level visa sponsorship categories. For detailed occupation requirements, see the O*NET profile.
Find Chief Compliance Officer JobsOverview
Showing 5 of 752+ Chief Compliance Officer jobs
See all 752+ Chief Compliance Officer Jobs
Sign up for free to unlock all listings, filter by visa type, and get alerts for new Chief Compliance Officer roles.
Get Access To All JobsINTRODUCTION
InspereX is seeking an accomplished and strategic Managing Director, Chief Compliance Officer ("CCO") to lead and administer the firm's comprehensive broker-dealer compliance program. Reporting to the General Counsel, the CCO will serve as the firm's designated Chief Compliance Officer and will be responsible for developing, implementing, and maintaining a risk-based compliance framework designed to ensure adherence with applicable SEC, FINRA, MSRB, and other regulatory requirements. The Managing Director, Chief Compliance Officer serves as a senior member of the firm's leadership team and a trusted advisor to executive management. The CCO partners closely with the General Counsel, Chief Executive Officer, and other senior business leaders to help shape the firm's risk management, governance, and regulatory strategy while supporting continued business growth and innovation. The successful candidate will possess deep expertise in broker-dealer regulation, fixed income capital markets, underwriting activities, institutional sales practices, municipal securities, structured products, and market-linked investments. SEC-registered investment adviser compliance experience is a plus. This individual must be capable of operating both strategically and tactically, providing executive leadership while remaining actively engaged in the oversight and enhancement of the firm's compliance program.
Why Join InspereX
InspereX is built on access, aggregation, and analysis. We connect advisors and institutions to differentiated investment opportunities across structured products, ETFs, private markets, and fixed income solutions. This is a unique opportunity to serve as the senior compliance leader of a growing and innovative financial services firm. The Managing Director, Chief Compliance Officer will partner closely with executive leadership to shape compliance strategy, strengthen regulatory relationships, support business growth, and influence key strategic decisions across the organization.
Primary Responsibilities
Compliance Leadership & Governance:
- Serve as the firm's designated Chief Compliance Officer and primary compliance contact for FINRA, the SEC, MSRB, and other regulatory agencies.
- Lead and continuously enhance the firm's broker-dealer compliance program.
- Establish and maintain a risk-based framework to identify, assess, monitor, and mitigate compliance risks.
- Develop and maintain Written Supervisory Procedures (WSPs), compliance policies, supervisory controls, and governance frameworks.
- Lead the annual Rule 3130 Compliance Program Review and CEO Certification process, including supervisory control testing, risk assessments, remediation efforts, and executive reporting.
- Provide independent compliance guidance and escalate significant compliance, regulatory, supervisory, or reputational risks when appropriate.
- Promote a culture of compliance, accountability, transparency, and ethical conduct throughout the organization.
Regulatory Oversight & Risk Management:
- Lead regulatory examinations, inquiries, investigations, audits, and enforcement matters, including regulatory response coordination and remediation efforts.
- Serve as the firm's primary liaison with regulatory agencies and industry organizations.
- Monitor and interpret regulatory developments affecting broker-dealers, fixed income markets, underwriting activities, municipal securities, institutional sales practices, structured products, and market-linked investments.
- Assess emerging regulatory risks and implement appropriate policy, supervisory, and training enhancements.
- Oversee the firm's compliance risk assessment, surveillance, monitoring, and testing programs.
Business Partnership & Strategic Advisory:
- Serve as the firm's compliance subject matter expert for fixed income securities, municipal securities, underwriting activities, institutional sales practices, structured products, market-linked investments, and related regulations.
- Partner with executive leadership to support strategic initiatives, product development, acquisitions, technology enhancements, and business growth opportunities.
- Ensure compliance considerations are incorporated into new products, business lines, distribution channels, technology platforms, and business processes.
- Provide practical, risk-based compliance guidance that supports business objectives while maintaining regulatory compliance.
- Collaborate closely with Legal, Operations, Finance, Technology, Capital Markets, Product Management, Trading, and Sales leadership.
Supervisory Programs & Compliance Operations:
- Oversee compliance programs supporting the origination, underwriting, distribution, and secondary market trading of fixed income securities, municipal securities, structured products, and market-linked investments.
- Administer supervisory programs, including employee trading, outside business activities, private securities transactions, gifts and entertainment, political contributions, conflicts of interest, information barriers, employee disclosures, and regulatory reporting obligations.
- Oversee branch office inspections, supervisory reviews, and compliance testing programs.
- Review and approve marketing, advertising, educational, and client-facing materials.
- Oversee key aspects of the firm's Anti-Money Laundering (AML) program, including training, independent testing coordination, suspicious activity reviews, sanctions compliance, and regulatory reporting.
- Ensure effective compliance controls are maintained across all business activities.
Firm Education & Training:
- Develop and deliver compliance education and training programs for employees, supervisors, and executive leadership.
- Promote compliance awareness and serve as a trusted resource for regulatory guidance.
Leadership & Team Development:
- Lead, mentor, and develop compliance personnel while fostering accountability, collaboration, and continuous improvement.
- Build strong relationships across the organization and serve as a strategic advisor to senior leadership.
- Demonstrate executive presence, sound judgment, and effective decision-making in complex situations.
- Perform additional duties and strategic initiatives as assigned.
Qualifications
Required
- 10+ years of compliance experience within broker-dealer, capital markets, fixed income, underwriting, institutional securities, or related financial services organizations.
- Significant experience supporting FINRA-registered broker-dealers and interacting directly with regulatory agencies.
- 5+ years of leadership experience managing compliance programs, regulatory initiatives, and/or compliance personnel.
- Active FINRA Series 7 and Series 24 registrations.
- Deep knowledge of FINRA, SEC, and MSRB rules applicable to broker-dealers.
- Experience leading regulatory examinations, investigations, remediation efforts, and regulatory relationships.
- Experience developing and maintaining Written Supervisory Procedures, supervisory controls, compliance monitoring programs, and enterprise compliance frameworks.
- Strong understanding of Anti-Money Laundering (AML) requirements and broker-dealer supervisory obligations.
- Experience supporting fixed income capital markets, debt underwriting, institutional sales practices, municipal securities activities, structured products, broker-dealer distribution platforms, and trading businesses.
Preferred
- Prior experience serving as a Chief Compliance Officer, Deputy Chief Compliance Officer, or senior compliance leader within a regulated broker-dealer environment.
- Prior experience with the SEC and/or FINRA.
- Working knowledge of the Investment Advisers Act of 1940 and experience supporting an SEC-registered investment adviser.
- Strong knowledge of MSRB regulations and municipal securities supervisory requirements.
- Advanced degree, Juris Doctor (JD), MBA, or other relevant professional designation.
Professional Attributes
- Strategic thinker with strong business judgment and commercial awareness.
- Demonstrated executive presence and the ability to influence regulators, executive leadership, and governance stakeholders.
- Exceptional leadership, relationship-building, and communication skills.
- Strong analytical, problem-solving, decision-making, and organizational abilities.
- Ability to balance regulatory obligations with practical business considerations and growth objectives.
- High degree of integrity, professionalism, discretion, and accountability.
- Proficiency with Microsoft Office applications and compliance technology platforms.
- Ability to travel periodically for regulatory matters, branch inspections, industry events, and business needs.
About InspereX
InspereX is a tech-driven fixed income and structured products distribution and trading firm that empowers financial professionals with access to a broad range of investment solutions. Through innovative technology, deep market expertise, and a commitment to service, InspereX helps advisors and institutions efficiently access opportunities across fixed income, market-linked investments, ETFs, and private markets.
InspereX is an Equal Opportunity Employer and is committed to fostering an inclusive workplace. Employment decisions are made without regard to race, color, religion, creed, ancestry, national origin, age, sex, sexual orientation, marital status, military or veteran status, disability, or any other status protected by applicable law.
INTRODUCTION
InspereX is seeking an accomplished and strategic Managing Director, Chief Compliance Officer ("CCO") to lead and administer the firm's comprehensive broker-dealer compliance program. Reporting to the General Counsel, the CCO will serve as the firm's designated Chief Compliance Officer and will be responsible for developing, implementing, and maintaining a risk-based compliance framework designed to ensure adherence with applicable SEC, FINRA, MSRB, and other regulatory requirements. The Managing Director, Chief Compliance Officer serves as a senior member of the firm's leadership team and a trusted advisor to executive management. The CCO partners closely with the General Counsel, Chief Executive Officer, and other senior business leaders to help shape the firm's risk management, governance, and regulatory strategy while supporting continued business growth and innovation. The successful candidate will possess deep expertise in broker-dealer regulation, fixed income capital markets, underwriting activities, institutional sales practices, municipal securities, structured products, and market-linked investments. SEC-registered investment adviser compliance experience is a plus. This individual must be capable of operating both strategically and tactically, providing executive leadership while remaining actively engaged in the oversight and enhancement of the firm's compliance program.
Why Join InspereX
InspereX is built on access, aggregation, and analysis. We connect advisors and institutions to differentiated investment opportunities across structured products, ETFs, private markets, and fixed income solutions. This is a unique opportunity to serve as the senior compliance leader of a growing and innovative financial services firm. The Managing Director, Chief Compliance Officer will partner closely with executive leadership to shape compliance strategy, strengthen regulatory relationships, support business growth, and influence key strategic decisions across the organization.
Primary Responsibilities
Compliance Leadership & Governance:
- Serve as the firm's designated Chief Compliance Officer and primary compliance contact for FINRA, the SEC, MSRB, and other regulatory agencies.
- Lead and continuously enhance the firm's broker-dealer compliance program.
- Establish and maintain a risk-based framework to identify, assess, monitor, and mitigate compliance risks.
- Develop and maintain Written Supervisory Procedures (WSPs), compliance policies, supervisory controls, and governance frameworks.
- Lead the annual Rule 3130 Compliance Program Review and CEO Certification process, including supervisory control testing, risk assessments, remediation efforts, and executive reporting.
- Provide independent compliance guidance and escalate significant compliance, regulatory, supervisory, or reputational risks when appropriate.
- Promote a culture of compliance, accountability, transparency, and ethical conduct throughout the organization.
Regulatory Oversight & Risk Management:
- Lead regulatory examinations, inquiries, investigations, audits, and enforcement matters, including regulatory response coordination and remediation efforts.
- Serve as the firm's primary liaison with regulatory agencies and industry organizations.
- Monitor and interpret regulatory developments affecting broker-dealers, fixed income markets, underwriting activities, municipal securities, institutional sales practices, structured products, and market-linked investments.
- Assess emerging regulatory risks and implement appropriate policy, supervisory, and training enhancements.
- Oversee the firm's compliance risk assessment, surveillance, monitoring, and testing programs.
Business Partnership & Strategic Advisory:
- Serve as the firm's compliance subject matter expert for fixed income securities, municipal securities, underwriting activities, institutional sales practices, structured products, market-linked investments, and related regulations.
- Partner with executive leadership to support strategic initiatives, product development, acquisitions, technology enhancements, and business growth opportunities.
- Ensure compliance considerations are incorporated into new products, business lines, distribution channels, technology platforms, and business processes.
- Provide practical, risk-based compliance guidance that supports business objectives while maintaining regulatory compliance.
- Collaborate closely with Legal, Operations, Finance, Technology, Capital Markets, Product Management, Trading, and Sales leadership.
Supervisory Programs & Compliance Operations:
- Oversee compliance programs supporting the origination, underwriting, distribution, and secondary market trading of fixed income securities, municipal securities, structured products, and market-linked investments.
- Administer supervisory programs, including employee trading, outside business activities, private securities transactions, gifts and entertainment, political contributions, conflicts of interest, information barriers, employee disclosures, and regulatory reporting obligations.
- Oversee branch office inspections, supervisory reviews, and compliance testing programs.
- Review and approve marketing, advertising, educational, and client-facing materials.
- Oversee key aspects of the firm's Anti-Money Laundering (AML) program, including training, independent testing coordination, suspicious activity reviews, sanctions compliance, and regulatory reporting.
- Ensure effective compliance controls are maintained across all business activities.
Firm Education & Training:
- Develop and deliver compliance education and training programs for employees, supervisors, and executive leadership.
- Promote compliance awareness and serve as a trusted resource for regulatory guidance.
Leadership & Team Development:
- Lead, mentor, and develop compliance personnel while fostering accountability, collaboration, and continuous improvement.
- Build strong relationships across the organization and serve as a strategic advisor to senior leadership.
- Demonstrate executive presence, sound judgment, and effective decision-making in complex situations.
- Perform additional duties and strategic initiatives as assigned.
Qualifications
Required
- 10+ years of compliance experience within broker-dealer, capital markets, fixed income, underwriting, institutional securities, or related financial services organizations.
- Significant experience supporting FINRA-registered broker-dealers and interacting directly with regulatory agencies.
- 5+ years of leadership experience managing compliance programs, regulatory initiatives, and/or compliance personnel.
- Active FINRA Series 7 and Series 24 registrations.
- Deep knowledge of FINRA, SEC, and MSRB rules applicable to broker-dealers.
- Experience leading regulatory examinations, investigations, remediation efforts, and regulatory relationships.
- Experience developing and maintaining Written Supervisory Procedures, supervisory controls, compliance monitoring programs, and enterprise compliance frameworks.
- Strong understanding of Anti-Money Laundering (AML) requirements and broker-dealer supervisory obligations.
- Experience supporting fixed income capital markets, debt underwriting, institutional sales practices, municipal securities activities, structured products, broker-dealer distribution platforms, and trading businesses.
Preferred
- Prior experience serving as a Chief Compliance Officer, Deputy Chief Compliance Officer, or senior compliance leader within a regulated broker-dealer environment.
- Prior experience with the SEC and/or FINRA.
- Working knowledge of the Investment Advisers Act of 1940 and experience supporting an SEC-registered investment adviser.
- Strong knowledge of MSRB regulations and municipal securities supervisory requirements.
- Advanced degree, Juris Doctor (JD), MBA, or other relevant professional designation.
Professional Attributes
- Strategic thinker with strong business judgment and commercial awareness.
- Demonstrated executive presence and the ability to influence regulators, executive leadership, and governance stakeholders.
- Exceptional leadership, relationship-building, and communication skills.
- Strong analytical, problem-solving, decision-making, and organizational abilities.
- Ability to balance regulatory obligations with practical business considerations and growth objectives.
- High degree of integrity, professionalism, discretion, and accountability.
- Proficiency with Microsoft Office applications and compliance technology platforms.
- Ability to travel periodically for regulatory matters, branch inspections, industry events, and business needs.
About InspereX
InspereX is a tech-driven fixed income and structured products distribution and trading firm that empowers financial professionals with access to a broad range of investment solutions. Through innovative technology, deep market expertise, and a commitment to service, InspereX helps advisors and institutions efficiently access opportunities across fixed income, market-linked investments, ETFs, and private markets.
InspereX is an Equal Opportunity Employer and is committed to fostering an inclusive workplace. Employment decisions are made without regard to race, color, religion, creed, ancestry, national origin, age, sex, sexual orientation, marital status, military or veteran status, disability, or any other status protected by applicable law.
See all 752+ Chief Compliance Officer Jobs
Sign up for free to unlock all listings, filter by visa type, and get alerts for new Chief Compliance Officer roles.
Get Access To All JobsTips for Finding Chief Compliance Officer Jobs
Target regulated industries first
Banks, insurance companies, pharmaceutical firms, and publicly traded corporations maintain dedicated compliance departments and sponsor visas regularly. These employers have established legal and HR infrastructure to handle H-1B visa and green card petitions efficiently.
Position your credentials around specialty occupation
USCIS scrutinizes executive compliance roles for specialty occupation status. A JD, LLM, or master's degree in finance, risk management, or a regulated field strengthens your petition significantly. Generic business degrees with no compliance focus create approval risk.
Understand the O-1A pathway if H-1B sponsorship falls through
CCOs with published regulatory guidance, board appointments, media recognition, or significant judgment authority over major compliance programs may qualify for O-1A extraordinary ability. This bypasses the H-1B lottery entirely and is worth exploring with an attorney.
Negotiate green card sponsorship into your offer
Senior compliance roles typically qualify for EB-1C multinational manager or EB-2 sponsorship. Ask directly during offer negotiation whether the employer will initiate PERM or file an I-140 petition, and request a timeline commitment before accepting.
Prepare for enhanced USCIS scrutiny on managerial petitions
H-1B petitions for CCO roles occasionally receive Requests for Evidence questioning whether the position requires a specialized degree. Document specific regulatory frameworks you oversee, professional licenses held, and technical expertise to preempt this issue.
Prioritize employers with prior H-1B compliance filings
Companies that have previously sponsored compliance officers are far more likely to understand the process and approve a new petition. Employers unfamiliar with visa sponsorship for senior roles frequently withdraw offers once legal complexity becomes clear.
Frequently Asked Questions
Can a Chief Compliance Officer role qualify for H-1B sponsorship?
Yes, CCO roles can qualify as specialty occupations, but the petition must demonstrate that the position normally requires at least a bachelor's degree in a specific field like law, finance, or risk management. Generic managerial framing without degree specificity is the most common reason USCIS issues an RFE. Petitions supported by a JD, LLM, or master's in a regulated field have the strongest approval records.
What degree do I need to get sponsored as a Chief Compliance Officer?
Most employers require a JD, LLM, master's in finance, or an MBA with a compliance or regulatory focus. Professional certifications like CRCM, CFE, or CAMS strengthen a petition but don't replace degree requirements for specialty occupation purposes. If your degree field doesn't directly match compliance, documented work experience in specific regulatory frameworks can help support the connection.
Do CCO roles qualify for EB-1 or EB-2 green card sponsorship?
Multinational CCOs who have worked for the same corporate family abroad for at least one of the past three years may qualify for EB-1C sponsorship, which skips the PERM labor market test entirely. Domestic hires without multinational history typically pursue PERM-based EB-2. Either way, CCO is a role category where employers frequently initiate green card sponsorship as part of executive retention.
How do I find Chief Compliance Officer jobs that offer visa sponsorship?
Migrate Mate lists compliance roles from employers who actively sponsor visas, making it easier to filter for opportunities without cold-screening every posting for sponsorship willingness. Many CCO openings at large employers never explicitly state sponsorship availability in the job listing, so using a platform focused on verified sponsoring employers saves significant time in the search process.
Is the O-1A visa a realistic option for compliance professionals?
It can be, but the bar is high. O-1A requires demonstrating extraordinary ability through criteria like published regulatory commentary, service as a judge or expert reviewer, membership in exclusive professional organizations, or holding a critical role at a distinguished institution. CCOs who have testified before regulatory bodies, authored widely cited compliance frameworks, or led enforcement actions at major firms have the strongest cases.
What is the prevailing wage requirement for sponsored Chief Compliance Officer 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.