Senior Associate Director, Compliance

Webull Financial • Saint Petersburg, FL

12h • $140,000 - $165,000 • Onsite

About The Position

Webull Advisors is an SEC-registered Investment Adviser focused on robo-advisory and AI-enabled wealth solutions. We are seeking a growth-oriented compliance professional in St. Petersburg, Florida who is ready to take the next step in their career. This role is ideal for someone with investment adviser compliance experience who wants broader exposure, hands-on ownership, and the opportunity to develop into a senior compliance leader as the advisor business scales. The position will work closely with legal, product, operations, and technology stakeholders to support and enhance the Webull Advisors compliance program.

Requirements

• 7+ years of compliance experience in investment advisory, brokerage, fintech, wealth management, asset management, or another regulated financial services environment
• 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
• Ability to research, analyze, and apply rules, regulations, and policies with practical business judgment
• Detail-oriented, organized, and comfortable managing multiple priorities in a fast-moving environment
• Curious, proactive, and eager to learn in a high-growth advisor business with exposure to technology, product innovation, and AI-enabled investing
• Demonstrated interest in building a long-term career in compliance, with a desire for unique experience, mentorship, and growth potential within a scaling business

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.

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: Senior
• Education Level: No Education Listed