Senior Associate Director, Compliance

Webull Corporation
New York
Workplace: OnsiteFull timeUSD 165,000 - 185,000 annuallyFunction: Legal, Risk & ComplianceExperience: 7+ yearsEducation: bachelorsSkills: ["Attention to detail","Organizational skills","Research and analysis","Practical business judgment","Stakeholder management"]

Lead and enhance Webull Advisors’ SEC investment adviser compliance program by building and maintaining policies and controls, assessing regulatory change impact, and ensuring proposed activities comply with applicable rules. Manage examinations and external audits, draft and file regulatory submissions, and develop compliance standard operating procedures that translate policy into operational execution (including via API). Review SEC Marketing Rule–governed marketing materials and oversee personal securities trading, Code of Ethics, and Access Person list management.

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Webull Corporation
Webull Corporation
6 days ago

Senior Associate Director, Compliance

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Last checked: 3 hours agoStatus: Live

Job Summary

Lead and enhance Webull Advisors’ SEC investment adviser compliance program by building and maintaining policies and controls, assessing regulatory change impact, and ensuring proposed activities comply with applicable rules. Manage examinations and external audits, draft and file regulatory submissions, and develop compliance standard operating procedures that translate policy into operational execution (including via API). Review SEC Marketing Rule–governed marketing materials and oversee personal securities trading, Code of Ethics, and Access Person list management.
Location: New York
Workplace: Onsite
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Sr. Director level

Key Responsibilities

  • •Build and maintain compliance 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 across teams to meet new obligations.
  • •Determine whether proposed activities comply with rules applicable to a registered investment advisor.
  • •Lead and manage examination and external audit processes and ensure readiness while presenting compliance controls.
  • •Draft and file regulatory submissions and reports, and lead creation and maintenance of compliance standard operating procedures translating policy into operational activities.

Pay and Benefits

Salary: USD 165,000 - 185,000 annually
Perks:Health InsuranceDentalVision401kCommuter BenefitsPaid ParentalPet InsuranceSick Time

Key Requirements

  • •Bachelor’s degree in Finance, Business Administration, Economics, or related field required.
  • •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 adviser compliance obligations, with direct experience required.
  • •Ability to research, analyze, and apply rules, regulations, and policies using practical business judgment.
  • •Detail-oriented and able to manage multiple priorities in a fast-moving environment.
Experience:7+ yearsInvestment advisoryBrokerageFintechWealth managementAsset managementRegulated financial services
Education:Bachelor's
Skills:Attention to detailOrganizational skillsResearch and analysisPractical business judgmentStakeholder management
Licenses:Series 7Series 24Series 65Series 66
Certifications:IACCPCRCMCAMSSeries 7Series 24Series 65Series 66
Languages:English
Tech Stack:API

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