2 months ago

Chief Compliance Officer

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 6 hours agoStatus: Live

Job Summary

Lead Webull Advisors' compliance program as a hands-on chief—build policies, monitor regulatory changes under the Investment Advisers Act, oversee audits and examinations, draft filings, and translate policy into operations with API-focused SOPs. Partner across business, operations, and tech to promote a culture of compliance in a fast-growing fintech advisory platform.

Location: United States

Workplace: Onsite

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Seniority: CXO level

Key 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 adviser.
•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.

Pay and Benefits

Salary: USD 165,000 - 200,000 annually

Perks:Health InsuranceDentalVision401kPet InsuranceWellness Stipend

Key Requirements

•6+ years of experience in compliance program management within traditional or non-traditional financial services
•Strong knowledge of the Investment Advisors Act
•Ability to analyze and interpret applicable rules, regulations, and policies
•Detail-oriented with a demonstrated ability to self-motivate
•Growth mindset and initiative to push for excellence, results, and process improvement

Experience:6+ yearsFintechFinancial services

Skills:Detail-orientedSelf-motivationGrowth mindsetInitiativeCommunication

Languages:English

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

Website LinkedIn

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Webull Corporation

2 months ago

Chief Compliance Officer

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 6 hours agoStatus: Live

Job Summary

Location: United States

Workplace: Onsite

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Seniority: CXO level

Key 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 adviser.
•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.

Pay and Benefits

Salary: USD 165,000 - 200,000 annually

Perks:Health InsuranceDentalVision401kPet InsuranceWellness Stipend

Key Requirements

•6+ years of experience in compliance program management within traditional or non-traditional financial services
•Strong knowledge of the Investment Advisors Act
•Ability to analyze and interpret applicable rules, regulations, and policies
•Detail-oriented with a demonstrated ability to self-motivate
•Growth mindset and initiative to push for excellence, results, and process improvement

Experience:6+ yearsFintechFinancial services

Skills:Detail-orientedSelf-motivationGrowth mindsetInitiativeCommunication

Languages:English

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

Website LinkedIn