Chief Compliance Officer

Webull Financial•Saint Petersburg, FL

1d•Onsite

About The Position

Webull Advisors is an SEC registered Investment Adviser focused on robo-advisory services. We are looking for a talented compliance professional in St. Petersburg, Florida to join our compliance department. This is a hands-on leadership role. As a 'team of one,' you will be the primary architect and executor of our compliance framework, directly managing day-to-day operations rather than just overseeing a department.

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
Known for being detail-oriented with a demonstrated ability to self-motivate
Possess a growth mindset (to problem solve and innovate)
High-level of an initiative to push for excellence, results, and process improvement
Commitment to building an inclusive culture

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 advisor.
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.
Lead and deliver on the creation and maintenance of the compliance standard operating procedures, translating policy requirements for API into operational activities.
Promote a culture of compliance, proactively engaging peers and stakeholders across the business, operations, and technology teams to educate on compliance concerns.
Review and approve all marketing materials for compliance with the SEC Marketing Rule.
Conduct annual review pursuant to Rule 206(4)-7.
Monitor personal securities trading, manage “Access Person” list, and manage Code of Ethics.