Head Of Compliance Jobs in USA with Visa Sponsorship
Head of Compliance roles attract H-1B 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 JobsCompany Overview
Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment. IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments. Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology. This is a hybrid role (4 days in office / 1 day remote).
Responsibilities
The primary responsibilities of the Compliance Testing Officer include:
- Managing the firm’s annual compliance testing program
- Coordinating the execution of testing reviews with stakeholders across various departments and ensuring reviews are conducted in accordance with firm procedures.
- Assist in the development of the firm’s compliance testing program, including testing procedures, methodologies, risk assessments and frequency schedules to comply with relevant legal and regulatory requirements and industry best practices.
- Execute the firm’s compliance testing program
- Drafting specifications for testing queries, scripts, and enhanced controls to be implemented by business or programming staff.
- Reporting compliance testing findings to management and defining management actions plans with stakeholders to address findings.
- Tracking compliance testing findings from discovery to remediation.
- Other Core Compliance activities as needed.
Qualifications
- At least 5+ years of experience with the SEC, FINRA, CFTC, NFA, an exchange, an accounting firm or law firm with a focus on security or commodity regulations, a broker-dealer or an FCM. Experience in a compliance testing or audit role is strongly preferred.
- Experience testing regulatory requirements related to markets and trading across various products, such as stocks, options, bonds, and futures.
- High degree of comfort and fluency with computers and technology.
- Outstanding oral and written communication skills.
- Ability to work both independently and to multi-task with minimal supervision.
- Registrations (i.e., SIE, Series 7, 24 and/or Series 3 registration) if no registrations can consider a member in good standing of the bar of any U.S. state or the District of Columbia.
- Experience with Atlassian Confluence/JIRA preferred.
To be successful in this position, you will have the following:
- Self-motivated and able to handle tasks with minimal supervision
- Superb analytical and problem-solving skills
- Excellent collaboration and communication (verbal and written) skills
- Outstanding organizational and time management skills
Company Benefits & Perks
- Competitive salary, annual performance-based bonus and stock grant
- Retirement plan 401(k) with a competitive company match
- Excellent health and wellness benefits, including medical, dental, and vision benefits. Company paid medical healthcare premium.
- Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)
- Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snack
- Corporate events, including team outings, dinners, volunteer activities and company sports teams
- Education reimbursement and learning opportunities
Company Overview
Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment. IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments. Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology. This is a hybrid role (4 days in office / 1 day remote).
Responsibilities
The primary responsibilities of the Compliance Testing Officer include:
- Managing the firm’s annual compliance testing program
- Coordinating the execution of testing reviews with stakeholders across various departments and ensuring reviews are conducted in accordance with firm procedures.
- Assist in the development of the firm’s compliance testing program, including testing procedures, methodologies, risk assessments and frequency schedules to comply with relevant legal and regulatory requirements and industry best practices.
- Execute the firm’s compliance testing program
- Drafting specifications for testing queries, scripts, and enhanced controls to be implemented by business or programming staff.
- Reporting compliance testing findings to management and defining management actions plans with stakeholders to address findings.
- Tracking compliance testing findings from discovery to remediation.
- Other Core Compliance activities as needed.
Qualifications
- At least 5+ years of experience with the SEC, FINRA, CFTC, NFA, an exchange, an accounting firm or law firm with a focus on security or commodity regulations, a broker-dealer or an FCM. Experience in a compliance testing or audit role is strongly preferred.
- Experience testing regulatory requirements related to markets and trading across various products, such as stocks, options, bonds, and futures.
- High degree of comfort and fluency with computers and technology.
- Outstanding oral and written communication skills.
- Ability to work both independently and to multi-task with minimal supervision.
- Registrations (i.e., SIE, Series 7, 24 and/or Series 3 registration) if no registrations can consider a member in good standing of the bar of any U.S. state or the District of Columbia.
- Experience with Atlassian Confluence/JIRA preferred.
To be successful in this position, you will have the following:
- Self-motivated and able to handle tasks with minimal supervision
- Superb analytical and problem-solving skills
- Excellent collaboration and communication (verbal and written) skills
- Outstanding organizational and time management skills
Company Benefits & Perks
- Competitive salary, annual performance-based bonus and stock grant
- Retirement plan 401(k) with a competitive company match
- Excellent health and wellness benefits, including medical, dental, and vision benefits. Company paid medical healthcare premium.
- Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)
- Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snack
- Corporate events, including team outings, dinners, volunteer activities and company sports teams
- Education reimbursement and learning opportunities
How to Get Visa Sponsorship in Head Of Compliance
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.
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Get Access To All JobsFrequently 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 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 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.
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