Senior Associate Director, Compliance

Webull; 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 for NY positions

Generous time off

Parental leave

Wellness & Pet Care

Tuition reimbursement

Catered breakfast (Mondays) & lunches/

Fully stocked kitchens

Monthly happy hours

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

Bachelor's degree requirements

7+ years compliance experience

Investment Advisers Act knowledge

Rule research and application

Detail-oriented and organized

Curious and proactive

Long-term compliance career

Education

Bachelor's degree in Finance, Business Administration, Economics, or related field

Advanced degree or relevant certifications preferred (IACCP, CRCM, CAMS, Series 7/24/65/66)

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 in St. Petersburg, Florida 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.