Senior Associate Director of Compliance
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 a Senior 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.
- 8+ 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.
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.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
