Senior Associate Director, Compliance

Webull Corporation
United States
Workplace: OnsiteFull timeUSD 140,000 - 165,000 annuallyFunction: Legal, Risk & ComplianceExperience: 7+ yearsSkills: ["Research","Analyze","Attention to detail","Organization","Prioritization","Communication","Compliance program management","Risk assessment"]

Lead and enhance Webull Advisors’ compliance program for an SEC-registered investment adviser. You’ll assess new regulatory requirements, manage policies, controls, and compliance determinations, and oversee examination and external audit readiness. Drive regulatory submissions, maintain compliance standard operating procedures, review SEC Marketing Rule marketing materials, and manage annual reviews plus personal securities trading and the Code of Ethics. Partner closely with legal, product, operations, and technology teams to promote a compliance culture.

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Webull Corporation
Webull Corporation
1 day ago

Senior Associate Director, Compliance

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Last checked: 12 hours agoStatus: Live

Job Summary

Lead and enhance Webull Advisors’ compliance program for an SEC-registered investment adviser. You’ll assess new regulatory requirements, manage policies, controls, and compliance determinations, and oversee examination and external audit readiness. Drive regulatory submissions, maintain compliance standard operating procedures, review SEC Marketing Rule marketing materials, and manage annual reviews plus personal securities trading and the Code of Ethics. Partner closely with legal, product, operations, and technology teams to promote a compliance culture.
Location: United States
Workplace: Onsite
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Sr. Director level

Key Responsibilities

  • •Build and maintain policies and controls, identify gaps, recommend requirements to first-line teams, and track resolution
  • •Assess impact of new regulatory requirements and amend policies and controls to meet obligations
  • •Determine whether proposed activities comply with applicable rules and regulations for a registered investment advisor
  • •Lead examination and external audit processes, ensuring internal readiness and external presentation of compliance controls
  • •Draft and file regulatory submissions and reports; maintain compliance SOPs translating policy requirements into operational activities

Pay and Benefits

Salary: USD 140,000 - 165,000 annually
Perks:Health InsuranceDentalVision401kPaid ParentalPet InsuranceRemote Work

Key Requirements

  • •7+ years of compliance experience in investment advisory, brokerage, fintech, wealth management, asset management, or other regulated financial services
  • •Working knowledge of the Investment Advisers Act and SEC compliance obligations, including adviser compliance program requirements
  • •Ability to research, analyze, and apply rules, regulations, and policies with practical business judgment
  • •Detail-oriented and organized, 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 and AI-enabled investing
Experience:7+ yearsFintechWealth managementAsset managementRegulated financial services
Skills:ResearchAnalyzeAttention to detailOrganizationPrioritizationCommunicationCompliance program managementRisk assessment
Languages:English
Tech Stack:SEC Marketing RuleAPIAI-enabled investing

Company Brief

Webull Corporation
Operates a commission-free online brokerage and trading platform offering stocks, options, ETFs, and crypto trading, plus market data and research tools for retail investors and active traders.
Industry: Trading Platforms
Company Size: Enterprise (1,001+ employees)
Growth: Established Company
Headquarters: New York, United States
Founded: 2017
WebsiteLinkedIn