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.
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Get Access To All JobsINTRODUCTION
At LPL, people leaders shape the employee experience, strengthen our culture, drive performance, and help our people reach new heights. When that happens, we all win: our clients, LPL, and, most importantly, our employees. If you are ready to lead with intention and help shape what comes next, LPL Financial invites you to apply today.
ABOUT THE JOB
This is an opportunity to lead the firm's enterprise Compliance and Privacy programs at one of the nation's leading wealth management firms, in an environment undergoing significant transformation.
LPL is using AI, data, and technology to transform how work gets done, while continually advancing new products, platforms, capabilities, and services for our advisors and their clients. The Executive Vice President, Chief Compliance Officer will play a critical role in enabling that progress responsibly. The role will establish the strategic direction for LPL's Compliance program, strengthen risk-based oversight, and serve as a trusted advisor to senior leaders, business partners, regulators, and governance bodies. Success requires balancing strong regulatory and privacy standards with the speed, innovation, and thoughtful risk-taking necessary to continue advancing the firm.
The EVP, Chief Compliance Officer leads a large, multidisciplinary organization and is accountable for the design, execution, and continuous improvement of LPL's enterprise Compliance and Privacy programs across its broker-dealer and registered investment adviser businesses.
The role oversees policy management; anti-money laundering and fraud; compliance education; regulatory change management; investment adviser compliance; branch examinations; compliance advice and guidance; senior investor protection; electronic communications; compliance testing; privacy governance and regulatory compliance; and related governance activities.
Importantly, the CCO works alongside business, technology, product, legal, risk, and other leaders to embed compliance and privacy into the design of new products, services, AI-enabled capabilities, and business processes from the outset, helping LPL innovate and move quickly while maintaining strong standards for regulatory compliance, privacy, and client protection.
Responsibilities:
- Set and execute the enterprise Compliance strategy, aligning regulatory obligations, privacy requirements, risk appetite, business priorities, advisor needs, and client outcomes.
- Own the design, maintenance, and effectiveness of LPL's Compliance and Privacy programs, including policies, procedures, controls, monitoring, surveillance, testing, issue management, regulatory change management, and governance.
- Lead the firm's Privacy program, establishing the governance, policies, oversight, monitoring, and accountability necessary to protect personal information and meet applicable privacy requirements as the firm's use of data and technology evolves.
- Provide compliance oversight for LPL's broker-dealer, registered investment adviser firms, advisors, sales practices, branch activity, products, communications, and marketing materials.
- Enable responsible innovation by ensuring Compliance and Privacy are engaged early in the development of new products, services, technology, data uses, and AI-enabled capabilities, identifying risks and practical solutions before they become barriers to execution.
- Partner with Technology, Product, Legal, Risk, Operations, and business leaders as LPL expands the use of AI, automation, and data, establishing clear guardrails that support innovation while appropriately managing regulatory, privacy, and client risks.
- Build a forward-looking compliance model that anticipates regulatory and technological change rather than reacting to it, using data, technology, automation, and AI where appropriate to strengthen monitoring, improve insights, and increase the effectiveness and scalability of oversight.
- Lead, develop, and retain a large, multidisciplinary organization; establish clear accountability, succession plans, operating rhythms, performance expectations, and a culture of high standards and continuous improvement.
- Participate in responses to regulatory examinations, inquiries, investigations, and remediation commitments; maintain direct, credible relationships with the SEC, FINRA, state regulators, and other authorities.
- Design and direct supervisory control and compliance testing programs, including work supporting FINRA Rules 3120 and 3130, and report material gaps, trends, emerging risks, and corrective actions to senior management and appropriate governance bodies.
- Establish and oversee the firm's framework for identifying, assessing, disclosing, mitigating, and monitoring conflicts of interest.
WHAT ARE WE LOOKING FOR?
We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.
REQUIREMENTS
- 15+ years of progressive compliance, regulatory, legal, risk, or related financial services experience, including significant leadership experience within a large, complex, highly regulated financial institution.
- 10+ years leading senior-level compliance functions or teams, with a demonstrated ability to inspire, develop, and retain high-performing teams and leaders.
- Deep broker-dealer and registered investment adviser expertise, with strong knowledge of applicable SEC and FINRA rules and regulatory expectations, including supervisory controls, sales practices, conflicts of interest, communications, branch oversight, testing, surveillance, and investment adviser compliance.
- Demonstrated experience serving as, or operating at the level of, a Chief Compliance Officer or senior deputy CCO for a large broker-dealer, RIA, wealth management, asset management, banking, or similarly complex financial services organization.
- Proven ability to design, operate, and continuously enhance enterprise compliance programs, including policies and procedures, monitoring and surveillance, testing, regulatory change management, issue management, governance, and reporting.
PREFERENCES:
- Experience leading or providing executive oversight of an enterprise Privacy program, including privacy governance, data-use considerations, regulatory compliance, monitoring, and accountability.
- Experience overseeing or partnering closely with AML, fraud, financial crimes, electronic communications, surveillance, branch examinations, senior investor protection, and conflicts-of-interest programs.
- Experience developing a technology-enabled compliance operating model, including the use of data analytics, automation, machine learning, or AI to improve monitoring, surveillance, testing, risk identification, and management information.
- Demonstrated experience overseeing transformational change involving compliance operating models, technology modernization, organizational redesign, or regulatory remediation.
- Demonstrated ability to advise Boards, executive leadership, and senior management on material compliance issues, emerging risks, regulatory developments, and the effectiveness of the firm's compliance framework.
- Juris Doctor, MBA, or other relevant advanced degree preferred.
- Relevant professional certifications such as FINRA Series 7 and 24, or ability to obtain required registrations following appointment, depending on the specific regulatory responsibilities associated with the position.
PAY RANGE:
300,000-500,000/year
Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
COMPANY OVERVIEW:
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.
INFORMATION ON INTERVIEWS:
LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.
INTRODUCTION
At LPL, people leaders shape the employee experience, strengthen our culture, drive performance, and help our people reach new heights. When that happens, we all win: our clients, LPL, and, most importantly, our employees. If you are ready to lead with intention and help shape what comes next, LPL Financial invites you to apply today.
ABOUT THE JOB
This is an opportunity to lead the firm's enterprise Compliance and Privacy programs at one of the nation's leading wealth management firms, in an environment undergoing significant transformation.
LPL is using AI, data, and technology to transform how work gets done, while continually advancing new products, platforms, capabilities, and services for our advisors and their clients. The Executive Vice President, Chief Compliance Officer will play a critical role in enabling that progress responsibly. The role will establish the strategic direction for LPL's Compliance program, strengthen risk-based oversight, and serve as a trusted advisor to senior leaders, business partners, regulators, and governance bodies. Success requires balancing strong regulatory and privacy standards with the speed, innovation, and thoughtful risk-taking necessary to continue advancing the firm.
The EVP, Chief Compliance Officer leads a large, multidisciplinary organization and is accountable for the design, execution, and continuous improvement of LPL's enterprise Compliance and Privacy programs across its broker-dealer and registered investment adviser businesses.
The role oversees policy management; anti-money laundering and fraud; compliance education; regulatory change management; investment adviser compliance; branch examinations; compliance advice and guidance; senior investor protection; electronic communications; compliance testing; privacy governance and regulatory compliance; and related governance activities.
Importantly, the CCO works alongside business, technology, product, legal, risk, and other leaders to embed compliance and privacy into the design of new products, services, AI-enabled capabilities, and business processes from the outset, helping LPL innovate and move quickly while maintaining strong standards for regulatory compliance, privacy, and client protection.
Responsibilities:
- Set and execute the enterprise Compliance strategy, aligning regulatory obligations, privacy requirements, risk appetite, business priorities, advisor needs, and client outcomes.
- Own the design, maintenance, and effectiveness of LPL's Compliance and Privacy programs, including policies, procedures, controls, monitoring, surveillance, testing, issue management, regulatory change management, and governance.
- Lead the firm's Privacy program, establishing the governance, policies, oversight, monitoring, and accountability necessary to protect personal information and meet applicable privacy requirements as the firm's use of data and technology evolves.
- Provide compliance oversight for LPL's broker-dealer, registered investment adviser firms, advisors, sales practices, branch activity, products, communications, and marketing materials.
- Enable responsible innovation by ensuring Compliance and Privacy are engaged early in the development of new products, services, technology, data uses, and AI-enabled capabilities, identifying risks and practical solutions before they become barriers to execution.
- Partner with Technology, Product, Legal, Risk, Operations, and business leaders as LPL expands the use of AI, automation, and data, establishing clear guardrails that support innovation while appropriately managing regulatory, privacy, and client risks.
- Build a forward-looking compliance model that anticipates regulatory and technological change rather than reacting to it, using data, technology, automation, and AI where appropriate to strengthen monitoring, improve insights, and increase the effectiveness and scalability of oversight.
- Lead, develop, and retain a large, multidisciplinary organization; establish clear accountability, succession plans, operating rhythms, performance expectations, and a culture of high standards and continuous improvement.
- Participate in responses to regulatory examinations, inquiries, investigations, and remediation commitments; maintain direct, credible relationships with the SEC, FINRA, state regulators, and other authorities.
- Design and direct supervisory control and compliance testing programs, including work supporting FINRA Rules 3120 and 3130, and report material gaps, trends, emerging risks, and corrective actions to senior management and appropriate governance bodies.
- Establish and oversee the firm's framework for identifying, assessing, disclosing, mitigating, and monitoring conflicts of interest.
WHAT ARE WE LOOKING FOR?
We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.
REQUIREMENTS
- 15+ years of progressive compliance, regulatory, legal, risk, or related financial services experience, including significant leadership experience within a large, complex, highly regulated financial institution.
- 10+ years leading senior-level compliance functions or teams, with a demonstrated ability to inspire, develop, and retain high-performing teams and leaders.
- Deep broker-dealer and registered investment adviser expertise, with strong knowledge of applicable SEC and FINRA rules and regulatory expectations, including supervisory controls, sales practices, conflicts of interest, communications, branch oversight, testing, surveillance, and investment adviser compliance.
- Demonstrated experience serving as, or operating at the level of, a Chief Compliance Officer or senior deputy CCO for a large broker-dealer, RIA, wealth management, asset management, banking, or similarly complex financial services organization.
- Proven ability to design, operate, and continuously enhance enterprise compliance programs, including policies and procedures, monitoring and surveillance, testing, regulatory change management, issue management, governance, and reporting.
PREFERENCES:
- Experience leading or providing executive oversight of an enterprise Privacy program, including privacy governance, data-use considerations, regulatory compliance, monitoring, and accountability.
- Experience overseeing or partnering closely with AML, fraud, financial crimes, electronic communications, surveillance, branch examinations, senior investor protection, and conflicts-of-interest programs.
- Experience developing a technology-enabled compliance operating model, including the use of data analytics, automation, machine learning, or AI to improve monitoring, surveillance, testing, risk identification, and management information.
- Demonstrated experience overseeing transformational change involving compliance operating models, technology modernization, organizational redesign, or regulatory remediation.
- Demonstrated ability to advise Boards, executive leadership, and senior management on material compliance issues, emerging risks, regulatory developments, and the effectiveness of the firm's compliance framework.
- Juris Doctor, MBA, or other relevant advanced degree preferred.
- Relevant professional certifications such as FINRA Series 7 and 24, or ability to obtain required registrations following appointment, depending on the specific regulatory responsibilities associated with the position.
PAY RANGE:
300,000-500,000/year
Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
COMPANY OVERVIEW:
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.
INFORMATION ON INTERVIEWS:
LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.
See all 690+ 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.