Compliance Analyst

Webull Financial • New York, NY

5h • $80,000 - $95,000 • 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 seeking a Compliance Analyst to join our expanding Compliance team within our New York Wall Street Operations. Reporting to the Senior Associate Director, this role will primarily focus on regulatory reporting and marketing/advertising review, while also supporting broader compliance initiatives across the brokerage.
This is an ideal opportunity for a driven early-career professional looking to build a strong foundation in brokerage compliance, gain visibility across cross-functional teams, and grow within a fast-paced, innovative environment.

Requirements

• Bachelor’s degree in Finance, Marketing, or a related field.
• Minimum of 1-2 years of experience in compliance, legal, or regulatory roles within the financial services industry.
• Strong knowledge of FINRA, SEC, and other relevant regulations pertaining to communications compliance.
• Familiarity with concepts of recommendation, digital engagement practices, modern marketing practices.
• Exceptional English skills with eye for detail.

Nice To Haves

• Series 7 and Series 24 license or ability to obtain within 3 months
• Builder’s mentality seeking embrace the power of new technologies and optimize workflows.
• Ability to work independently and collaboratively in a fast-paced environment.
• Capable of navigating multiple deadlines and numerous projects simultaneously

Responsibilities

• Support and manage regulatory examinations (FINRA, SEC, NFA, CFTC, and others) from initial request through closeout.
• Coordinate, draft, and submit responses to regulatory inquiries and information requests.
• Oversee intake, tracking, investigation, and resolution of regulatory complaints.
• Assist in the management of the customer complaint process, including intake tracking, investigation support, regulatory reporting, and remediation recordkeeping
• Review marketing materials, advertisements, and public communications for regulatory compliance.
• Partner with Marketing to enable innovative strategies while ensuring adherence to regulatory standards.
• Support the design and delivery of compliance training programs for business partners and new hires; help maintain training logs and materials.
• Support exam readiness, audits, and ongoing compliance monitoring.
• Stay current on regulatory developments and assess business impact.
• Collaborate cross-functionally with Legal, Operations, and Technology to gather documentation and support compliance initiatives.

Benefits

• Comprehensive Health Coverage: 100% paid medical and dental insurance for employees and dependents, vision insurance, and more!
• Financial Support: 401(k) match, commuter benefits for NY positions, and short-term disability coverage.
• Work-Life Balance: Generous time off that increases with tenure, paid parental leave, personal days, sick time, volunteer days and company holidays.
• Wellness & Pet Care: Fitness and wellness benefits, plus pet insurance for your furry friends.
• Investing in Your Future: We provide tuition reimbursement to help you pursue relevant degrees, certifications, and training that align with your career goals.
• Dynamic Office Perks: Catered breakfast (every Monday) & lunches (every Friday), fully stocked kitchens, and monthly happy hours to connect and collaborate.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level