Finance Controls & Regulatory Reporting, Associate Director/Sr. Associate Director

Webull; New York (NY); Sur place; USD 135 000 - 175 000; Plein temps

Avantages offerts par ce poste

Health insurance

401(k) matching

Paid parental leave

Generous time off

Résumé du poste

Webull is seeking an experienced finance professional to lead financial controls, regulatory reporting, and operational excellence from its NY office. The role will be senior, with Associate Director or Senior Associate Director title depending on experience.

You will oversee Rule 15c3-3 reserve calculations, work with auditors on SOX testing and audits, and drive improvements to strengthen control environments while supporting regulatory initiatives.

Qualifications

• 6+ years of experience in audit, financial controls, and/or regulatory reporting.
• Experience designing, operating, and enhancing financial controls, preferably in a SOX-compliant public company environment.
• Hands-on experience preparing and reviewing SEC Rule 15c3-3 Reserve Formula calculations.
• Strong understanding of broker-dealer regulatory accounting and control frameworks.
• Ability to collaborate across Finance, Operations, Compliance, and external auditors.

Responsabilités

• Lead and strengthen financial controls across key finance processes.
• Prepare, review, and oversee Rule 15c3-3 reserve calculations and related regulatory processes.
• Partner with auditors on SOX testing, financial statement audits, and regulatory examinations.
• Drive process improvements to enhance control effectiveness and operational efficiency.
• Support Finance leadership on regulatory initiatives and special projects.

Connaissances

Financial controls

Regulatory reporting

SOX compliance

Audit coordination

Cross-functional collaboration

Formation

Bachelor's degree in Finance/Accounting

Outils

Rule 15c3-3 reserve calculations

SEC/FINRA regulatory frameworks

Description du poste

Finance Controls & Regulatory Reporting, Associate Director/Sr. Associate Director

Webull is a leading digital brokerage platform built on next generation global infrastructure. At Webull, we believe that everyone should have an equal opportunity to control their own financial future. Our vision has always been to empower individual investors with the tools and resources they need to succeed financially. This commitment remains at the heart of everything we do. From low-fee trading and robust market data to advanced analytical tools, we are committed to providing a seamless, top-tier trading experience.

About The Role & Team

We are seeking an experienced finance professional to join our Finance organization in a leadership role supporting financial controls, regulatory reporting, and operational excellence. The title will be Associate Director or Senior Associate Director, based on experience and qualifications.

In This Role, You Will

• Lead and strengthen financial controls across key finance processes.
• Prepare, review, and oversee Rule 15c3-3 reserve calculations and related regulatory processes.
• Partner with auditors on SOX testing, financial statement audits, and regulatory examinations.
• Drive process improvements to enhance control effectiveness and operational efficiency.
• Support Finance leadership on regulatory initiatives and special projects.

The Skills You Bring

• 6+ years of experience in audit, financial controls, and/or regulatory reporting
• Experience designing, operating, and enhancing financial controls, preferably in a SOX-compliant public company environment.
• Hands‑on experience preparing and reviewing SEC Rule 15c3-3 Reserve Formula calculations.
• Strong understanding of broker‑dealer regulatory accounting and control frameworks.
• Ability to collaborate across Finance, Operations, Compliance, and external auditors.

What Makes You Stand Out

• FINRA Series 27 license (highly preferred, or willingness to attain within 3‑6 months).
• Audit and controls experience combined with broker‑dealer experience.
• Public accounting or external audit experience.
• Experience with SEC and FINRA regulatory reporting.
• Experience improving close processes, documentation, and control effectiveness.

Why Webull?

Webull is more than a fintech company—we’re a global community of innovators, collaborators, and trailblazers. Headquartered in St. Petersburg, FL, Webull operates in 16 regions worldwide, serving over 20 million users. At Webull, your ideas matter, your voice is heard, and your work makes a real impact.

Investing in our people is a top priority for us, which is why we have a comprehensive benefits package that includes:

• Comprehensive Health Coverage : 100% paid medical and dental insurance for employees and dependents, vision insurance, and more!
• Financial Support : 401(k) match, commuter benefits for NY positions, and short-term disability coverage.
• Work-Life Balance : Generous time off that increases with tenure, paid parental leave, personal days, sick time, volunteer days and company holidays.
• Wellness & Pet Care : Fitness and wellness benefits, plus pet insurance for your furry friends.
• Investing in Your Future: We provide tuition reimbursement to help you pursue relevant degrees, certifications, and training that align with your career goals.
• Dynamic Office Perks : Catered breakfast (every Monday) & lunches (every Friday), fully stocked kitchens, and monthly happy hours to connect and collaborate.

This role is based in our NY Wall Street office (44 Wall Street, NYC) , where in‑person collaboration fuels growth, mentorship, and innovation. At Webull, we’re committed to fair, equitable, and transparent compensation. The base salary range is $135,000 - 175,000 annually, plus a discretionary bonus and full benefits. Final offers consider experience, location, and relevant qualifications.

EEOC Statement

Webull is an equal opportunity employer. We’re committed to building a diverse and inclusive team where all backgrounds, perspectives, and talents are valued.