Advisor Compliance Director
Webull
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Benefits offered by this job
Job summary
Webull Advisors is seeking a growth-oriented compliance professional in St. Petersburg, Florida, with investment adviser experience, to lead policy creation, regulatory alignment, and exam readiness.
You will collaborate with legal, product, operations, and technology to strengthen the compliance program and help scale the advisor business. The role focuses on governance, examinations, audits, and external reporting, offering exposure to AI-enabled investing and growth opportunities within
Qualifications
- Bachelor's degree in Finance, Business Administration, Economics, or related field required; advanced degree or relevant certifications preferred.
- 7+ years of compliance experience in investment advisory, brokerage, fintech, wealth management, asset management, or another regulated financial services environment
- Working knowledge of the Investment Advisers Act, SEC compliance obligations, and core adviser compliance program requirements
- Ability to research, analyze, and apply rules, regulations, and policies with practical business judgment
- Detail-oriented, organized, and comfortable managing multiple priorities in a fast-moving environment
- Curious, proactive, and eager to learn in a high-growth advisor business with exposure to technology, product innovation, and AI-enabled investing
- Demonstrated interest in building a long-term career in compliance, with a desire for unique experience, mentorship, and growth potential within a scaling business.
Responsibilities
- Build and maintain policies and controls, leading enhancement opportunities by identifying gaps, recommending clear requirements to first-line teams, and tracking resolution.
- Assess the impact of new regulatory requirements on existing policies and controls and work across teams to amend the same to meet new obligations.
- Take responsibility for determining whether proposed activities are in compliance with the rules and regulations applicable to a registered investment advisor.
- Lead and manage examination and external audit processes, engaging internally to ensure readiness and externally to present compliance controls.
- Draft and file all regulatory submissions and reports to senior stakeholders with timely and actionable information concerning the health of compliance programs.
- Lead and deliver on the creation and maintenance of the compliance standard operating procedures, translating policy requirements for API into operational activities.
- Promote a culture of compliance, proactively engaging peers and stakeholders across the business, operations, and technology teams to educate on compliance concerns.
- Review and approve all marketing materials for compliance with the SEC Marketing Rule.
- Conduct annual review pursuant to Rule 206(4)-7.
- Monitor personal securities trading, manage “Access Person” list, and manage Code of Ethics.
Skills
Education
Job description
Webull Advisors is seeking a growth-oriented compliance professional in St. Petersburg, Florida, with investment adviser experience, to lead policy creation, regulatory alignment, and exam readiness.
You will collaborate with legal, product, operations, and technology to strengthen the compliance program and help scale the advisor business. The role focuses on governance, examinations, audits, and external reporting, offering exposure to AI-enabled investing and growth opportunities within
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