Associate Director of Compliance

Webull Financial•New York, NY

2h•Onsite

About The Position

At Webull, our Compliance team serves as a strategic partner across the organization, safeguarding both our clients and the integrity of the firm. We blend deep regulatory expertise with a forward-thinking mindset to support innovation in a highly regulated industry. We are looking to bring on an Associate Director of Compliance to our NY Wall Street Operations. This role is designed for a highly experienced compliance professional with deep expertise in FINRA and SEC regulations, strong independent judgment, and proven experience building and enhancing supervisory frameworks. The ideal candidate is a hands-on leader and subject matter expert who can operate autonomously, draft and maintain Written Supervisory Procedures (WSPs), support regulatory exams, and partner cross-functionally to ensure the firm maintains a best-in-class compliance posture while enabling responsible business growth.

Requirements

Bachelor’s degree in Finance, Business, Law, or related field.
5 years of broker-dealer compliance experience (title dependent on experience).
Deep working knowledge of FINRA and SEC rules and regulatory frameworks.
Ability to analyze and interpret applicable rules, regulations, and policies.
Demonstrated experience drafting and maintaining Written Supervisory Procedures.
Excellent communication and interpersonal skills, with the ability to build strong relationships with regulators, industry associations, and other stakeholders.
Ability to work independently and manage multiple priorities in a fast-paced, dynamic environment.
Series 7, 63, or other relevant FINRA licenses.

Nice To Haves

Hold an active Series 24 license or have the ability to obtain it within three months of hire.
Highly detail-oriented with a proven ability to self-motivate and take ownership of work.
Strong analytical and problem-solving skills, with the ability to proactively identify and address compliance risks.
Demonstrated initiative and a continuous improvement mindset, with a drive for excellence and operational efficiency.

Responsibilities

Serve as a senior compliance subject matter expert on FINRA, SEC, and broker-dealer regulatory requirements.
Interpret evolving regulatory developments and assess their impact on the firm’s policies, procedures, and controls.
Advise on escalations, risk assessments, and high-impact compliance issues with sound independent judgment.
Draft, enhance, and maintain comprehensive Written Supervisory Procedures (WSPs) to ensure alignment with regulatory expectations and business operations.
Conduct gap analyses and implement control enhancements to strengthen the supervisory framework.
Review and approve communications for compliance with FINRA Rule 2210 and related regulations.
Oversee the firm's licensing and registration function, including maintaining CRD and ensuring compliance with registration requirements.
Manage FINRA, SEC, and state regulatory examinations and inquiries from initial request through remediation.
Design and manage compliance training programs for business partners and new hires; deliver ongoing regulatory education across the organization.
Collaborate cross-functionally with Legal, Operations, Technology, and Marketing to support scalable compliance solutions.
Provide training, mentorship, and regulatory guidance to business partners and junior compliance team members.