Compliance Officer Jobs in USA with Visa Sponsorship
Compliance officers qualify for H-1B, E-3, and O-1 visa sponsorship based on specialized knowledge of regulatory frameworks, risk management, and legal compliance. Your bachelor's degree in finance, business, law, or related field directly supports specialty occupation requirements, while certifications like CPA, CFA, or CAMS strengthen your petition. For detailed occupation requirements, see the O*NET profile.
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Get Access To All JobsINTRODUCTION
Ascensus is the leading independent technology and service platform powering savings plans across America, providing products and expertise that help nearly 16 million people save for a better today and tomorrow. The Chief Compliance Officer is responsible for overseeing and managing the compliance of Ascensus’s operating businesses and its broker-dealers, registered investment advisors and transfer agents ensuring adherence to laws, regulations, and internal policies. There are multiple postings for marketing purposes but only 1 opening. This position can be hybrid to our Newton, MA or Dresher, PA locations. Relocation assistance is available.
Responsibilities
- Ensure that operating businesses comply with laws, regulations, policies and procedures
- Develop, own and manage department vision, priorities and agenda
- Serve as CCO of broker-dealer, registered investment advisers, transfer agent and State-Chartered Trust Companies
- Advise senior management and business units on regulatory initiatives
- Provide guidance and training to operating business units
- Act as liaison with regulators including FINRA, SEC, MSRB and State Banking Regulators
- Oversee regulatory exams and audits
- Serve as spokesperson for Ascensus on compliance issues, including client due diligence visits
- Draft and maintain policies and procedures to fulfill the applicable compliance requirements of each regulated entity and business unit
- Draft and maintain relevant corporate-wide compliance policies and procedures
- Coordinate with internal operational groups to implement any needed compliance changes
- Handle all required filings and notices, including MSRB G42 and G45, Form BD, and Form ADV
- Administer AML/CIP/CID/SAR policies and filings, including transaction monitoring and FinCEN and OFAC searches
- Collaborate with Legal and Risk Management on privacy, identity theft and fraud incidents
- Oversee review and required filings of all advertising and marketing communications
- Oversee licensing and continuing education requirements for FINRA registered representatives including Forms U4 and U5, email review, compliance meeting monitoring and attestations
- Create, manage, and deliver annual compliance trainings, including firm, regulatory and AML Investment
- Oversee investment advisor compliance program for mutual funds, exchange traded funds, separately managed accounts, municipal securities and other investment products
- Conduct initial and ongoing due diligence of investment managers and collaborate with investment personnel to ensure compliance with the investment directives of Ascensus’s clients
- Assist with the review and drafting of relevant program disclosure documents
- Work closely with the legal and risk management departments
- Support other compliance activities including responses to RFPs
- Evaluate compliance needs and requirements of acquired companies and ensure corporate standards are applied consistently across all divisions and locations
- Responsible for protecting, securing, and proper handling of all confidential data held by Ascensus to ensure against unauthorized access, improper transmission, and/or unapproved disclosure of information that could result in harm to Ascensus or our clients
- At Ascensus we are guided by our Core Values of People Matter, Quality First and Integrity Always®. They inspire us every day to prioritize an environment of respect for those we serve and one another and should be visible in your actions on a day-to-day.
SUPERVISION
- Manage and lead a team of compliance professionals who support multiple business units
- Develop a high performing team through implementation of effective recruitment, training/cross training, performance management, mentoring, motivation and coaching while fostering strong team and cultural dynamics
- Engage associates in a positive and professional manner where inclusion, belonging and diversity of thought are leveraged for innovation and continuous improvement
- Work with associates to set and execute goals/objectives
- Manage direct reports according to Ascensus policy; maintain a safe and healthy work environment by establishing, following and enforcing standards and procedures; complying with legal regulations
REQUIREMENTS
- BS required; advanced degree preferred
- Minimum 15 years of broker-dealer and investment advisor compliance experience
- Transfer agent compliance and/or operations experience preferred
- Expert knowledge of securities, investments, investment products, markets, and their rules and regulations
- Must have the following Securities Licenses or be willing to obtain them within 6 months:
- Series 7 - General Securities Representative
- Series 24 - General Securities Principal
- Series 51 - Municipal Fund Securities Limited Principal; or
- Series 53 - Municipal Securities Principal
- Certification required: Certified Regulatory Compliance Manager (CRCM); other risk-related certifications desirable (CIA, CRP, CFE or CAMS)
- Strong negotiation, influencing, and relationship management skills
- Action-oriented; able to drive change and achieve results
- Strong managerial and leadership skills
- Effectiveness presenting to executive management, board of directors and regulators
- Strong business acumen
- Exceptional problem solving, decision making and analytical skills
- Excellent written and verbal communication skills
For all virtual remote positions, in order to ensure associates can effectively perform their job duties with no distractions, we require an uninterrupted virtual workspace and there is also an expectation of family care being in place during business hours. Additionally, there is an internet work speed requirement of 25 Mbps or better for individual use. If more than one person is utilizing the same internet connection in the same household or building, then a stronger connection is required. If you are unsure of your internet speed, please check with your service provider. Note: For call center roles specifically, it is a requirement to either hardwire your equipment directly to the internet router or ensure your workstation is in close proximity to the router. Please ensure that you are able to meet these expectations before applying.
COMPENSATION
- The national average salary range for this role is $250-300k in base pay, exclusive of any bonuses and benefits. This base salary range represents the low and high end of the salary range for this position. Actual salary offered will vary and may be above or below the range based on various factors including but not limited to location, experience, performance, and internal pay alignment. We do not anticipate that candidates hired will begin at the top of the range however, from time to time, it may occur on a case-by-case basis.
Other rewards and benefits may include: 401(k) match, Medical, Dental, Vision, Paid-Time-Off, etc. For more information, please visit careers.ascensus.com/#Benefits.
Be aware of employment fraud. All email communications from Ascensus or its hiring managers originate from @ascensus.com or @futureplan.com email addresses. We will never ask you for payment or require you to purchase any equipment. If you are suspicious or unsure about validity of a job posting, we strongly encourage you to apply directly through our website.
INTRODUCTION
Ascensus is the leading independent technology and service platform powering savings plans across America, providing products and expertise that help nearly 16 million people save for a better today and tomorrow. The Chief Compliance Officer is responsible for overseeing and managing the compliance of Ascensus’s operating businesses and its broker-dealers, registered investment advisors and transfer agents ensuring adherence to laws, regulations, and internal policies. There are multiple postings for marketing purposes but only 1 opening. This position can be hybrid to our Newton, MA or Dresher, PA locations. Relocation assistance is available.
Responsibilities
- Ensure that operating businesses comply with laws, regulations, policies and procedures
- Develop, own and manage department vision, priorities and agenda
- Serve as CCO of broker-dealer, registered investment advisers, transfer agent and State-Chartered Trust Companies
- Advise senior management and business units on regulatory initiatives
- Provide guidance and training to operating business units
- Act as liaison with regulators including FINRA, SEC, MSRB and State Banking Regulators
- Oversee regulatory exams and audits
- Serve as spokesperson for Ascensus on compliance issues, including client due diligence visits
- Draft and maintain policies and procedures to fulfill the applicable compliance requirements of each regulated entity and business unit
- Draft and maintain relevant corporate-wide compliance policies and procedures
- Coordinate with internal operational groups to implement any needed compliance changes
- Handle all required filings and notices, including MSRB G42 and G45, Form BD, and Form ADV
- Administer AML/CIP/CID/SAR policies and filings, including transaction monitoring and FinCEN and OFAC searches
- Collaborate with Legal and Risk Management on privacy, identity theft and fraud incidents
- Oversee review and required filings of all advertising and marketing communications
- Oversee licensing and continuing education requirements for FINRA registered representatives including Forms U4 and U5, email review, compliance meeting monitoring and attestations
- Create, manage, and deliver annual compliance trainings, including firm, regulatory and AML Investment
- Oversee investment advisor compliance program for mutual funds, exchange traded funds, separately managed accounts, municipal securities and other investment products
- Conduct initial and ongoing due diligence of investment managers and collaborate with investment personnel to ensure compliance with the investment directives of Ascensus’s clients
- Assist with the review and drafting of relevant program disclosure documents
- Work closely with the legal and risk management departments
- Support other compliance activities including responses to RFPs
- Evaluate compliance needs and requirements of acquired companies and ensure corporate standards are applied consistently across all divisions and locations
- Responsible for protecting, securing, and proper handling of all confidential data held by Ascensus to ensure against unauthorized access, improper transmission, and/or unapproved disclosure of information that could result in harm to Ascensus or our clients
- At Ascensus we are guided by our Core Values of People Matter, Quality First and Integrity Always®. They inspire us every day to prioritize an environment of respect for those we serve and one another and should be visible in your actions on a day-to-day.
SUPERVISION
- Manage and lead a team of compliance professionals who support multiple business units
- Develop a high performing team through implementation of effective recruitment, training/cross training, performance management, mentoring, motivation and coaching while fostering strong team and cultural dynamics
- Engage associates in a positive and professional manner where inclusion, belonging and diversity of thought are leveraged for innovation and continuous improvement
- Work with associates to set and execute goals/objectives
- Manage direct reports according to Ascensus policy; maintain a safe and healthy work environment by establishing, following and enforcing standards and procedures; complying with legal regulations
REQUIREMENTS
- BS required; advanced degree preferred
- Minimum 15 years of broker-dealer and investment advisor compliance experience
- Transfer agent compliance and/or operations experience preferred
- Expert knowledge of securities, investments, investment products, markets, and their rules and regulations
- Must have the following Securities Licenses or be willing to obtain them within 6 months:
- Series 7 - General Securities Representative
- Series 24 - General Securities Principal
- Series 51 - Municipal Fund Securities Limited Principal; or
- Series 53 - Municipal Securities Principal
- Certification required: Certified Regulatory Compliance Manager (CRCM); other risk-related certifications desirable (CIA, CRP, CFE or CAMS)
- Strong negotiation, influencing, and relationship management skills
- Action-oriented; able to drive change and achieve results
- Strong managerial and leadership skills
- Effectiveness presenting to executive management, board of directors and regulators
- Strong business acumen
- Exceptional problem solving, decision making and analytical skills
- Excellent written and verbal communication skills
For all virtual remote positions, in order to ensure associates can effectively perform their job duties with no distractions, we require an uninterrupted virtual workspace and there is also an expectation of family care being in place during business hours. Additionally, there is an internet work speed requirement of 25 Mbps or better for individual use. If more than one person is utilizing the same internet connection in the same household or building, then a stronger connection is required. If you are unsure of your internet speed, please check with your service provider. Note: For call center roles specifically, it is a requirement to either hardwire your equipment directly to the internet router or ensure your workstation is in close proximity to the router. Please ensure that you are able to meet these expectations before applying.
COMPENSATION
- The national average salary range for this role is $250-300k in base pay, exclusive of any bonuses and benefits. This base salary range represents the low and high end of the salary range for this position. Actual salary offered will vary and may be above or below the range based on various factors including but not limited to location, experience, performance, and internal pay alignment. We do not anticipate that candidates hired will begin at the top of the range however, from time to time, it may occur on a case-by-case basis.
Other rewards and benefits may include: 401(k) match, Medical, Dental, Vision, Paid-Time-Off, etc. For more information, please visit careers.ascensus.com/#Benefits.
Be aware of employment fraud. All email communications from Ascensus or its hiring managers originate from @ascensus.com or @futureplan.com email addresses. We will never ask you for payment or require you to purchase any equipment. If you are suspicious or unsure about validity of a job posting, we strongly encourage you to apply directly through our website.
How to Get Visa Sponsorship in Compliance Officer
Emphasize regulatory expertise in your petition
Detail your knowledge of specific regulations like BSA/AML, GDPR, SOX, or industry frameworks. USCIS recognizes compliance as requiring specialized knowledge of complex regulatory environments that generic business roles don't possess.
Document your certifications and continuing education
Include CPA, CFA, CAMS, CISA, or similar credentials in your I-129 petition. These demonstrate the specialized training required for compliance roles and help distinguish your position from general administrative work.
Frame compliance as risk mitigation strategy
Present your role as preventing financial losses through regulatory adherence rather than basic policy enforcement. This specialized risk assessment function supports the complexity argument required for H-1B approval.
Target financial services and healthcare employers
These heavily regulated industries frequently sponsor compliance officers because regulatory violations carry severe penalties. Banks, investment firms, hospitals, and pharmaceutical companies understand the specialized nature of compliance work.
Highlight cross-jurisdictional regulatory knowledge
If you understand multiple regulatory frameworks or international compliance standards, emphasize this expertise. Multi-jurisdictional knowledge demonstrates the specialized skill set that supports visa petition approval for compliance roles.
Connect degree field to regulatory specialization
Whether your degree is in finance, law, business, or economics, explicitly connect your academic background to compliance work. This direct relationship strengthens the specialty occupation argument for your petition.
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Get Access To All JobsFrequently Asked Questions
Do compliance officers qualify for H-1B sponsorship?
Yes, compliance officers typically qualify for H-1B sponsorship because the role requires specialized knowledge of regulatory frameworks, risk assessment methodologies, and legal compliance standards. Your bachelor's degree in finance, business, law, or related field directly supports the specialty occupation requirement, and employers can demonstrate the need for specialized regulatory expertise.
What degree do I need for compliance officer visa sponsorship?
A bachelor's degree in finance, business administration, accounting, economics, or law typically supports compliance officer H-1B petitions. Some employers accept related fields like criminal justice or political science if combined with relevant certifications like CPA, CFA, or CAMS. The degree must relate to regulatory knowledge and risk management principles.
Which industries sponsor compliance officers most frequently?
Financial services companies including banks, investment firms, and insurance companies sponsor compliance officers most often due to heavy regulatory oversight. Healthcare organizations, pharmaceutical companies, and technology firms with data privacy requirements also frequently sponsor these roles because regulatory violations carry severe financial and legal penalties.
Can compliance officers get O-1 visas instead of H-1B?
Compliance officers can potentially qualify for O-1 visas if they demonstrate extraordinary ability through leadership in regulatory policy development, published expertise in compliance frameworks, or recognition as a subject matter expert. However, most compliance roles are better suited for H-1B sponsorship since O-1 requires national or international recognition in the field.
Do compliance officer positions require specific certifications for sponsorship?
While not legally required for visa sponsorship, certifications like Certified Anti-Money Laundering Specialist (CAMS), Certified Fraud Examiner (CFE), or Certified Information Systems Auditor (CISA) significantly strengthen H-1B petitions. These credentials demonstrate specialized knowledge that supports the complexity argument and help distinguish compliance roles from general administrative positions.
What is the prevailing wage requirement for sponsored 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.
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