Senior Associate Director, Compliance

Webull-Financial; New York (NY); On-site; USD 165,000 - 185,000; Full time

Benefits offered by this job

Comprehensive Health Coverage

401(k) Match

Commuter Benefits (NY)

Short-term Disability

Generous Time Off

Parental Leave

Personal Days

Sick Time

Volunteer Days

Tuition Reimbursement

Breakfast & Lunch (Catered)

Job summary

Webull Advisors, an SEC-registered investment adviser, seeks a growth-oriented compliance professional to own the program across policy, controls, and regulatory submissions. You will work with legal, product, operations, and technology to scale the advisor business while ensuring strict compliance with securities laws and industry regulations.

The role offers exposure to AI-enabled wealth solutions, interaction with senior stakeholders, and a pathway to senior leadership as the program matures.

Qualifications

• Bachelor's degree in Finance, Business Administration, Economics, or related field.
• 7+ years of compliance experience in investment advisory or related financial services.
• Working knowledge of the Investment Advisers Act and SEC obligations.
• Ability to research, analyze, apply rules with business judgment.
• Detail-oriented, organized, and able to manage multiple priorities.
• Curious, proactive, and eager to learn in a fast-growth advisor business.
• Interest in building a long-term career in compliance within scaling business.

Responsibilities

• Build and maintain policies and controls, identifying gaps and tracking resolutions.
• Assess impact of new regulatory requirements on policies and controls and coordinate updates across teams.
• Determine compliance of proposed activities with rules for registered investment advisers.
• Lead and manage examination and external audit processes; ensure readiness and external presentation of controls.
• Draft and file regulatory submissions to senior stakeholders with timely information on compliance health.
• Develop and maintain compliance SOPs, translating policy requirements for API into operations.
• Promote a culture of compliance across business, operations, and technology teams.
• Review and approve marketing materials for SEC Marketing Rule compliance.
• Conduct annual review pursuant to Rule 206(4)-7.
• Monitor personal securities trading, manage Access Person list, and Code of Ethics.

Skills

Regulatory compliance

Investment Advisers Act knowledge

Analytical mindset

Multitasking

Curiosity & learning

Communication skills

Education

Bachelor's degree in Finance/Business/Economics

Advanced degree or compliance certifications

Job description

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

Webull Advisors is an SEC-registered Investment Adviser focused on robo-advisory and AI-enabled wealth solutions. We are seeking a growth-oriented compliance professional who is ready to take the next step in their career. This role is ideal for someone with investment adviser compliance experience who wants broader exposure, hands-on ownership, and the opportunity to develop into a senior compliance leader as the advisor business scales. The position will work closely with legal, product, operations, and technology stakeholders to support and enhance the Webull Advisors compliance program.

In This Role, You Will

• 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.

The Skills You Bring

• Bachelor's degree in Finance, Business Administration, Economics, or a related field required; advanced degree or relevant compliance certifications preferred (IACCP, CRCM, CAMS, Series 7/24/65/66, or similar compliance/regulatory credentials).
• 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; direct experience is required and strong related experience will be considered
• 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.

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 which 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 New York Office (44 Wall Street), 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 ($165,000 - $185,000) 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.