Compliance Program Manager Jobs in USA with Visa Sponsorship
Compliance Program Managers oversee regulatory frameworks, internal audits, and risk mitigation programs, roles that qualify as specialty occupations under H-1B visa and E-3 visas. Employers regularly sponsor this title, and the role's degree requirement in law, finance, or business supports strong petition approval rates. 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 713+ Compliance Program Manager Jobs
Sign up for free to unlock all listings, filter by visa type, and get alerts for new Compliance Program Manager roles.
Get Access To All JobsTips for Finding Visa Sponsorship as a Compliance Program Manager
Frame your degree as field-specific
Compliance roles require a degree in law, finance, accounting, or business administration to qualify as a specialty occupation. Highlight your specific field of study in every application, a generic bachelor's degree without a relevant discipline weakens the sponsorship petition considerably.
Target regulated industries first
Financial services, healthcare, and pharmaceuticals sponsor Compliance Program Managers at the highest rates. These industries face strict federal oversight and maintain dedicated compliance functions, making them far more experienced with visa sponsorship processes than general corporate employers.
Emphasize regulatory domain expertise
Employers sponsoring this role want candidates fluent in a specific regulatory framework, SEC, HIPAA, FDA, or AML. Positioning yourself as a specialist in one domain rather than a generalist compliance professional significantly increases your sponsorship value to a potential employer.
Certifications strengthen your petition
Credentials like CCEP, CRCM, or CFE reinforce the specialty occupation argument in an H-1B petition. USCIS adjudicators look for evidence that the role requires specialized knowledge, industry certifications alongside your degree build a materially stronger case.
Understand the LCA's role in your offer
Before your visa is filed, your employer must obtain a certified Labor Condition Application confirming the offered role meets prevailing wage standards. Understanding this step helps you engage confidently with HR and immigration counsel when your offer is being structured.
Ask about cap-exempt employer options
Universities, nonprofit research institutions, and certain government-affiliated organizations are exempt from the H-1B lottery. Compliance functions exist at many cap-exempt employers, pursuing these roles gives you a direct path to sponsorship without waiting for annual lottery selection.
Frequently Asked Questions
Do Compliance Program Manager roles qualify for H-1B sponsorship?
Yes, Compliance Program Manager is widely recognized as a specialty occupation under H-1B visa standards. The role requires a bachelor's degree or higher in a specific field, typically law, finance, accounting, or business administration. USCIS has consistently approved H-1B petitions for compliance management roles at regulated employers, particularly in financial services, healthcare, and pharmaceuticals, where the regulatory complexity supports the specialty occupation argument.
What degree do I need for an employer to sponsor a Compliance Program Manager visa?
Most employers require a bachelor's degree in a directly related field such as law, finance, accounting, business administration, or a relevant technical discipline depending on the industry. A generic business degree with no compliance-adjacent specialization can complicate the specialty occupation determination. Some roles in highly technical sectors, life sciences compliance, for example, may also accept degrees in the underlying scientific field combined with compliance experience.
How competitive is H-1B sponsorship for this role compared to technical jobs?
Compliance Program Manager roles face the same H-1B lottery odds as all cap-subject petitions, but the specialty occupation argument is generally well-established, so approved petitions proceed smoothly once selected. One meaningful advantage: compliance functions exist at many cap-exempt institutions, hospitals, universities, and nonprofits, where you can bypass the lottery entirely. Browsing cap-exempt employer listings on Migrate Mate is a practical first step.
Can I get sponsored for a Compliance Program Manager role on an E-3 visa as an Australian?
Yes. Compliance Program Manager qualifies as a specialty occupation under E-3 standards, and the visa has no lottery, making it significantly more accessible than H-1B for Australian nationals. Your employer files a Labor Condition Application, you attend a consular interview in Australia, and approval rates for well-documented compliance roles are high. The E-3 also allows unlimited two-year renewals as long as you hold a qualifying position.
Do employers in all industries sponsor Compliance Program Managers, or only certain sectors?
Sponsorship is heavily concentrated in regulated industries. Financial services firms, hospital systems, pharmaceutical companies, and insurance providers sponsor Compliance Program Managers at high rates because compliance is a core function rather than an overhead cost. Technology companies with fintech, healthcare, or government contracting divisions also sponsor regularly. General corporate employers outside regulated sectors are less consistent, the compliance function is smaller and sponsorship experience is limited.
What is the prevailing wage requirement for sponsored Compliance Program Manager 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.