Senior Compliance Leader, Investment Advisor Platform

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 for NY positions

Generous time off

Job summary

Webull Financial in New York seeks a Senior Associate Director, Compliance to lead and advance our regulatory program for investment adviser activities. You will collaborate with legal, product, operations, and technology teams to align policies with evolving SEC rules and industry standards.

The role requires deep knowledge of adviser compliance, strong program management, and the ability to drive readiness for examinations and audits while guiding cross-functional teams toward scalable,

Qualifications

• 7+ years of compliance experience in investment advisory, brokerage, fintech, wealth management, or a 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 mentorship and growth 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

Investment adviser compliance

SEC compliance

Regulatory program management

Policy development

Cross-functional collaboration

Education

Bachelor's degree in Finance/Business/Economics

Advanced degree or compliance certifications preferred

Job description

Webull Financial in New York seeks a Senior Associate Director, Compliance to lead and advance our regulatory program for investment adviser activities. You will collaborate with legal, product, operations, and technology teams to align policies with evolving SEC rules and industry standards.

The role requires deep knowledge of adviser compliance, strong program management, and the ability to drive readiness for examinations and audits while guiding cross-functional teams toward scalable,