Compliance Lead Jobs in USA with Visa Sponsorship
Compliance Lead roles attract strong H-1B visa and EB-2 sponsorship from financial services, healthcare, and tech employers. Most positions require a bachelor's degree in law, finance, or a related field, and many qualify for cap-exempt or NIW pathways given their regulatory impact. For detailed occupation requirements, see the O*NET profile.
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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 2,755+ Compliance Lead Jobs
Sign up for free to unlock all listings, filter by visa type, and get alerts for new Compliance Lead roles.
Get Access To All JobsTips for Finding Compliance Lead Jobs
Target heavily regulated industries first
Financial services, healthcare, and pharmaceuticals sponsor Compliance Leads far more consistently than other sectors. Employers in these industries have established legal and HR teams familiar with the H-1B process, which speeds up internal approval significantly.
Align your degree to the role explicitly
USCIS requires a direct connection between your degree field and the compliance role. Degrees in law, finance, accounting, or business administration map cleanly. If your degree is adjacent, prepare a detailed credential evaluation explaining the field-to-role relationship.
Emphasize regulatory specialization in your resume
Compliance Leads with deep expertise in specific frameworks like SOX, AML, HIPAA, or GDPR are easier for employers to justify sponsoring. Regulatory specialization strengthens the specialty occupation argument and makes the LCA prevailing wage determination more straightforward.
Ask about cap-exempt employer options
Universities, nonprofits, and government research organizations can sponsor H-1B workers outside the annual lottery. Compliance roles exist at these institutions, and a cap-exempt employer means you can start without waiting for a lottery selection cycle.
Raise sponsorship early in the conversation
Many employers assume compliance candidates are already authorized. Bringing up H-1B sponsorship in the second interview, after demonstrating your regulatory expertise, is more effective than leading with it. Framing the conversation around your qualifications first reduces friction.
Consider the EB-2 NIW pathway if you have senior experience
Experienced Compliance Leads who have shaped policy, led major remediation programs, or published in the field may qualify for the National Interest Waiver. This pathway lets you self-petition without employer sponsorship and bypasses the PERM labor certification process.
Frequently Asked Questions
Can a Compliance Lead role qualify as a specialty occupation for H-1B purposes?
Yes, Compliance Lead roles generally qualify as specialty occupations because they require at minimum a bachelor's degree in a specific field such as law, finance, accounting, or business administration. USCIS looks at whether the position normally requires a degree in a particular discipline. Roles involving regulatory interpretation, audit oversight, or legal compliance frameworks typically satisfy that standard, though employers should be prepared to document the requirement in the job description.
Which visa types do employers most commonly use to sponsor Compliance Leads?
The H-1B visa is the most common sponsorship vehicle for Compliance Leads, particularly in financial services, healthcare, and technology. The L-1A is an option for managers transferring from an overseas office of the same company. Senior professionals with a record of policy influence may also qualify for the EB-1A or EB-2 NIW. You can browse sponsoring employers on Migrate Mate, which filters roles by visa type and industry.
Does a law degree improve my chances of getting sponsored as a Compliance Lead?
A law degree strengthens a sponsorship case significantly, particularly for roles involving regulatory interpretation, enforcement response, or legal risk management. It creates a clear degree-to-role connection that USCIS finds straightforward to approve. That said, it isn't required. Bachelor's degrees in finance, accounting, or business administration support the specialty occupation argument effectively for most compliance positions, especially when paired with relevant certifications like CRCM or CAMS.
What documentation does an employer typically need to sponsor a Compliance Lead on an H-1B?
The employer files a Labor Condition Application with the Department of Labor certifying the offered wage meets the prevailing wage for the role and location. Once the LCA is certified, the employer files Form I-129 with USCIS along with a support letter, the job description, proof that the role requires a specific degree, and evidence of your qualifications. The process takes three to five months without premium processing, or two to three weeks with it.
Is H-1B lottery selection a realistic risk for Compliance Lead candidates?
Yes, the lottery is a genuine risk for any cap-subject H-1B filing, including Compliance Leads. In recent years, selection rates have been around 20 to 25 percent for most applicants. Candidates with a U.S. master's degree enter a separate pool first, which historically offers modestly better odds. Pursuing cap-exempt employers, exploring the E-3 visa if you're Australian, or building toward an EB-2 NIW are practical ways to reduce dependency on the lottery.
What is the prevailing wage requirement for sponsored Compliance Lead 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.