Webull
Senior Associate Director, Compliance
New York, NY · Director
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About the role
- About The Role & Team Webull Advisors is an SEC-registered Investment Adviser focused on robo-advisory and AI-enabled wealth solutions.
- Petersburg, Florida who is ready to take the next step in their career.
Responsibilities
- Catered breakfast (every Monday) & lunches (every Friday), fully stocked kitchens, and monthly happy hours to connect and collaborate.
- We're committed to building a diverse and inclusive team where all backgrounds, perspectives, and talents are valued.
- Build and maintain policies and controls, leading enhancement opportunities by identifying gaps, recommending clear requirements to first-line teams, and tracking resolution.
- Lead and manage examination and external audit processes, engaging internally to ensure readiness and externally to present compliance controls.
- Lead and deliver on the creation and maintenance of the compliance standard operating procedures, translating policy requirements for API into operational activities.
- Monitor personal securities trading, manage "Access Person" list, and manage Code of Ethics.
- Demonstrated interest in building a long-term career in compliance, with a desire for unique experience, mentorship, and growth potential within a scaling business.
Requirements
- 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
Skills
- Our vision has always been to empower individual investors with the tools and resources they need to succeed financially.
Compensation
- Conduct annual review pursuant to Rule 206(4)-7.
Benefits
- The base salary range is ($165,000 - $185,000) annually, plus a discretionary bonus and full benefits.
- Draft and file all regulatory submissions and reports to senior stakeholders with timely and actionable information concerning the health of compliance programs.
Company info
- 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.
- We are seeking a growth-oriented compliance professional in St.
- At Webull, we're committed to fair, equitable, and transparent compensation.
Equal opportunity
- equal opportunity employer.
This listing is sourced directly from Webull's careers page and normalized into a canonical job model.