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Webull Advisors, an SEC-registered Investment Adviser, is seeking a Senior Associate Director of Compliance to join its growing team in St. Petersburg, Florida. This role offers hands-on ownership and the opportunity to develop into a senior compliance leader as the advisor business scales.
You will be responsible for building and maintaining compliance policies and controls, identifying gaps, and recommending clear requirements to first-line teams while tracking resolution. You'll assess the impact of new regulatory requirements on existing policies and controls, working across teams to ensure compliance with SEC rules and regulations applicable to registered investment advisors.
Key responsibilities include leading and managing examination and external audit processes, drafting and filing regulatory submissions and reports, and creating and maintaining compliance standard operating procedures. You will review and approve all marketing materials for SEC Marketing Rule compliance, conduct annual reviews pursuant to Rule 206(4)-7, and monitor personal securities trading and Code of Ethics compliance.
You'll promote a culture of compliance by proactively engaging peers and stakeholders across business, operations, and technology teams to educate on compliance concerns. This position works closely with legal, product, operations, and technology stakeholders to support and enhance the Webull Advisors compliance program.
The ideal candidate has investment adviser compliance experience, strong regulatory knowledge, and the ability to translate policy requirements into operational activities. You should be detail-oriented, able to manage multiple priorities, and comfortable working in a fast-paced, growth-oriented environment.
