Head Of Compliance Jobs in USA with Visa Sponsorship
Head of Compliance roles attract H-1B visa and O-1 visa sponsorship from banks, fintechs, and healthcare systems that need permanent regulatory oversight. Most positions require a law degree or a bachelor's in finance with substantial compliance experience, qualifying as a specialty occupation under USCIS standards. For detailed occupation requirements, see the O*NET profile.
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Get Access To All JobsAbout Marex
Marex Group plc (NASDAQ: MRX) is a diversified global financial services platform providing essential liquidity, market access and infrastructure services to clients across energy, commodities and financial markets. The group provides comprehensive breadth and depth of coverage across four core services: clearing, agency and execution, market making, and hedging and investment solutions. It has a leading franchise in many major metals, energy and agricultural products, with access to 60 exchanges. The group provides access to the world's major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers. With more than 40 offices worldwide, the group has over 2,300 employees across Europe, Asia and the Americas.
Marex has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics.
In the ever-evolving financial landscape, Compliance has become increasingly complex. Marex must navigate a wide range of regulatory requirements to maintain licenses and protect Marex's reputation. Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law.
Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. Compliance efforts are instrumental in fostering a compliant culture within Marex and ensuring that all employees understand their responsibilities.
Furthermore, Compliance is a bridge between Marex and regulatory authorities. Compliance is responsible for responding to inquiries, providing necessary documentation, and cooperating with regulatory examinations and investigations. This collaboration is essential in maintaining a healthy and transparent relationship between Marex and regulatory bodies.
Role Summary
The Head of Broker Dealer Compliance is an expert in Broker Dealer regulation that leads a team of compliance officers in providing compliance advisory services for Equities, Fixed Income, Listed Options trading activities as well as knowledge of various regulatory reporting requirements. The role primarily focuses on providing real-time compliance advisory services to the Americas Broker Dealer business units. Such guidance is tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk, and industry best practices. In addition, this role advises individuals within the various Marex Business lines from a Compliance perspective.
Responsibilities
- Lead and develop the Americas Broker Dealer Compliance team, overseeing talent management, performance, training, and succession planning
- Serve as the primary Compliance advisor to U.S. Broker Dealer businesses, providing guidance across Equities, Fixed Income, Listed Options, and related activities
- Partner with business leaders and desk heads to deliver proactive, risk-based compliance advice and support strategic business initiatives
- Oversee the firm's Broker Dealer compliance framework, ensuring adherence to SEC, FINRA, OCC, exchange, and other applicable regulatory requirements
- Direct compliance oversight of key programs, including trade surveillance, regulatory reporting, employee compliance, and registration-related activities
- Ensure timely completion of regulatory examinations, inquiries, compliance assessments, governance reviews, and reporting obligations
- Maintain and enhance Broker Dealer policies, procedures, and Written Supervisory Procedures (WSPs) to address evolving regulatory requirements and business needs
- Promote a strong culture of compliance, risk awareness, integrity, and ethical conduct while supporting the firm's operational risk management framework
Competencies, Skills & Experience
- 10+ years of Broker Dealer Compliance experience with deep expertise in U.S. securities regulations, including SEC, FINRA, OCC, self-regulatory organizations, and applicable exchanges
- Proven leadership experience with the ability to build, develop, and motivate high-performing teams
- Strong regulatory judgment and the ability to analyze complex issues, assess risk, and deliver practical, business-focused solutions
- Exceptional communication and stakeholder management skills, with the ability to influence senior management and front-office leaders
- Proven ability to make, support, and defend complex compliance decisions in a fast-paced, highly regulated environment
- Strategic, proactive, and intellectually curious, with the ability to anticipate emerging risks and regulatory developments
- Collaborative and relationship-oriented, with demonstrated success working across functions, geographies, and levels of the organization
- High degree of integrity, professionalism, resilience, and accountability, with the ability to manage multiple priorities and deliver results under pressure
Salary Range: $290,000 to $335,000 per year and eligible for discretionary bonus.
Company Values
Be collaborative - by working together across the organisation, we foster teamwork, can better respond to challenges and successfully deliver for our clients
Act with integrity - we pride ourselves on our honesty and high ethical standards. We apply these values when working with all our clients, colleagues and other stakeholders
Be adaptable and entrepreneurial - we embrace change as markets evolve to constantly increase our efficiency and create innovative solutions for our clients. We are interested in the world around us and inquisitive about understanding the challenges and opportunities our clients face.
Be respectful – how we treat each other, and our clients says everything about who we are. We always act respectfully and treat people fairly in everything we do.
Nurture talent – we aim to grow our own talent and make Marex the place ambitious, hardworking and talented people choose to build their career. This means giving and taking stretch opportunities, taking risks, and committing to career development and support – for ourselves, and our teams.
Marex is fully committed to being an inclusive employer and providing an inclusive and accessible recruitment process for all. We will provide reasonable adjustments to remove any disadvantage to you being considered for this role. We value the differences that a diverse workforce brings to the company. We welcome applications from candidates returning to the workforce. Also, Marex is committed to avoiding circumstances in which the appearance or possibility of conflicts of interest may exist within the hiring process.
If you would like to receive any information in a different way or would like us to do anything differently to help you, please include it in your application.
About Marex
Marex Group plc (NASDAQ: MRX) is a diversified global financial services platform providing essential liquidity, market access and infrastructure services to clients across energy, commodities and financial markets. The group provides comprehensive breadth and depth of coverage across four core services: clearing, agency and execution, market making, and hedging and investment solutions. It has a leading franchise in many major metals, energy and agricultural products, with access to 60 exchanges. The group provides access to the world's major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers. With more than 40 offices worldwide, the group has over 2,300 employees across Europe, Asia and the Americas.
Marex has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics.
In the ever-evolving financial landscape, Compliance has become increasingly complex. Marex must navigate a wide range of regulatory requirements to maintain licenses and protect Marex's reputation. Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law.
Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. Compliance efforts are instrumental in fostering a compliant culture within Marex and ensuring that all employees understand their responsibilities.
Furthermore, Compliance is a bridge between Marex and regulatory authorities. Compliance is responsible for responding to inquiries, providing necessary documentation, and cooperating with regulatory examinations and investigations. This collaboration is essential in maintaining a healthy and transparent relationship between Marex and regulatory bodies.
Role Summary
The Head of Broker Dealer Compliance is an expert in Broker Dealer regulation that leads a team of compliance officers in providing compliance advisory services for Equities, Fixed Income, Listed Options trading activities as well as knowledge of various regulatory reporting requirements. The role primarily focuses on providing real-time compliance advisory services to the Americas Broker Dealer business units. Such guidance is tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk, and industry best practices. In addition, this role advises individuals within the various Marex Business lines from a Compliance perspective.
Responsibilities
- Lead and develop the Americas Broker Dealer Compliance team, overseeing talent management, performance, training, and succession planning
- Serve as the primary Compliance advisor to U.S. Broker Dealer businesses, providing guidance across Equities, Fixed Income, Listed Options, and related activities
- Partner with business leaders and desk heads to deliver proactive, risk-based compliance advice and support strategic business initiatives
- Oversee the firm's Broker Dealer compliance framework, ensuring adherence to SEC, FINRA, OCC, exchange, and other applicable regulatory requirements
- Direct compliance oversight of key programs, including trade surveillance, regulatory reporting, employee compliance, and registration-related activities
- Ensure timely completion of regulatory examinations, inquiries, compliance assessments, governance reviews, and reporting obligations
- Maintain and enhance Broker Dealer policies, procedures, and Written Supervisory Procedures (WSPs) to address evolving regulatory requirements and business needs
- Promote a strong culture of compliance, risk awareness, integrity, and ethical conduct while supporting the firm's operational risk management framework
Competencies, Skills & Experience
- 10+ years of Broker Dealer Compliance experience with deep expertise in U.S. securities regulations, including SEC, FINRA, OCC, self-regulatory organizations, and applicable exchanges
- Proven leadership experience with the ability to build, develop, and motivate high-performing teams
- Strong regulatory judgment and the ability to analyze complex issues, assess risk, and deliver practical, business-focused solutions
- Exceptional communication and stakeholder management skills, with the ability to influence senior management and front-office leaders
- Proven ability to make, support, and defend complex compliance decisions in a fast-paced, highly regulated environment
- Strategic, proactive, and intellectually curious, with the ability to anticipate emerging risks and regulatory developments
- Collaborative and relationship-oriented, with demonstrated success working across functions, geographies, and levels of the organization
- High degree of integrity, professionalism, resilience, and accountability, with the ability to manage multiple priorities and deliver results under pressure
Salary Range: $290,000 to $335,000 per year and eligible for discretionary bonus.
Company Values
Be collaborative - by working together across the organisation, we foster teamwork, can better respond to challenges and successfully deliver for our clients
Act with integrity - we pride ourselves on our honesty and high ethical standards. We apply these values when working with all our clients, colleagues and other stakeholders
Be adaptable and entrepreneurial - we embrace change as markets evolve to constantly increase our efficiency and create innovative solutions for our clients. We are interested in the world around us and inquisitive about understanding the challenges and opportunities our clients face.
Be respectful – how we treat each other, and our clients says everything about who we are. We always act respectfully and treat people fairly in everything we do.
Nurture talent – we aim to grow our own talent and make Marex the place ambitious, hardworking and talented people choose to build their career. This means giving and taking stretch opportunities, taking risks, and committing to career development and support – for ourselves, and our teams.
Marex is fully committed to being an inclusive employer and providing an inclusive and accessible recruitment process for all. We will provide reasonable adjustments to remove any disadvantage to you being considered for this role. We value the differences that a diverse workforce brings to the company. We welcome applications from candidates returning to the workforce. Also, Marex is committed to avoiding circumstances in which the appearance or possibility of conflicts of interest may exist within the hiring process.
If you would like to receive any information in a different way or would like us to do anything differently to help you, please include it in your application.
See all 2,302+ Head Of Compliance Jobs
Sign up for free to unlock all listings, filter by visa type, and get alerts for new Head Of Compliance roles.
Get Access To All JobsTips for Finding Head Of Compliance Jobs
Target regulated industries first
Banks, insurance carriers, healthcare systems, and publicly traded companies maintain dedicated compliance functions and sponsor visas regularly. These employers have established immigration infrastructure, making the sponsorship process faster and less uncertain than approaching smaller or unregulated firms.
Clarify your degree and experience match
USCIS requires that your degree field directly relates to compliance work. A law degree, finance degree, or accounting background strengthens your specialty occupation claim. Mismatches between your credential and the role's regulatory focus are among the most common denial reasons for this title.
Emphasize domain-specific expertise
Compliance is broad. Specifying your focus area, whether AML, SOX, HIPAA, or SEC regulations, signals to employers that you fill a precise gap. Niche expertise makes sponsorship easier to justify internally and strengthens the specialty occupation argument with USCIS during the H-1B petition.
Ask about sponsorship policy early
Many employers sponsor selectively, often only for senior or hard-to-fill roles. Raising sponsorship in the first or second interview round avoids investing weeks in a process that stalls. Phrasing it as confirming their experience with the process lands better than asking for a commitment upfront.
Understand the LCA requirement
Before your H-1B petition is filed, your employer must submit a Labor Condition Application certifying your offered compensation meets prevailing wage levels for compliance roles in your location. This step is the employer's responsibility, but understanding it helps you verify the process is moving correctly.
Build a compliance credentials portfolio
Certifications like CAMS, CCEP, or a FINRA license reinforce your specialty occupation case and differentiate you from generalist candidates. Employers evaluating sponsorship investment prefer candidates whose credentials reduce the risk of a USCIS Request for Evidence slowing down the hiring timeline significantly.
Frequently Asked Questions
Can a Head of Compliance role qualify for H-1B sponsorship?
Yes, Head of Compliance roles generally qualify as specialty occupations because they require at least a bachelor's degree in a specific field such as law, finance, or accounting. USCIS scrutinizes compliance titles more than technical roles, so your petition is stronger when the job description specifies a required degree field rather than listing it as preferred.
Which visa types do employers use to sponsor compliance leaders?
H-1B visa is the most common path. Candidates with a track record of senior leadership, published regulatory guidance, or significant industry recognition may qualify for the O-1A, which has no lottery and no annual cap. Australians can pursue the E-3 visa as an alternative to the H-1B, which also bypasses the lottery. Browse current openings on Migrate Mate to find employers already familiar with these pathways.
Does my degree field need to match compliance specifically?
USCIS requires a logical connection between your degree and the compliance role. A JD, a finance degree, or a business degree with a regulatory concentration all support the specialty occupation claim well. A degree in an unrelated field, such as communications or liberal arts, makes the petition harder to sustain unless you have substantial post-degree compliance credentials that bridge the gap.
How likely is USCIS to issue a Request for Evidence for this role?
Compliance titles receive RFEs more frequently than software engineering or scientific roles because USCIS sometimes questions whether a specific degree is always required, versus preferred. Employers with experienced immigration counsel who draft detailed specialty occupation support letters significantly reduce RFE risk. Choosing an employer with a prior record of successful compliance sponsorships matters more than most candidates realize.
Are Head of Compliance roles typically cap-exempt for H-1B purposes?
Most are not. Positions at for-profit banks, fintechs, insurance companies, and publicly traded corporations are cap-subject, meaning they enter the H-1B lottery. Cap-exempt status applies when the employer is a nonprofit research institution, university, or government research organization. Senior compliance roles at hospital systems affiliated with teaching universities may qualify, but this requires employer-specific legal confirmation.
What is the prevailing wage requirement for sponsored Head Of Compliance 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.