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Webull Advisors, an SEC-registered investment adviser within the Webull digital brokerage platform, is seeking a Senior Associate Director of Compliance to lead and scale the compliance program as the robo-advisory and AI-enabled wealth solutions business grows. This is a hands-on leadership role based in Saint Petersburg, Florida, ideal for an investment adviser compliance professional ready to expand their scope and develop into a senior compliance leader.
Key responsibilities include:
• Build and maintain comprehensive policies and controls by identifying gaps, recommending requirements to first-line teams, and tracking resolution across the organization.
• Assess the impact of new regulatory requirements on existing policies and controls, working cross-functionally to amend and enhance compliance frameworks to meet evolving obligations.
• Determine whether proposed business activities comply with applicable rules and regulations governing registered investment advisors, serving as the primary compliance authority for new initiatives.
• Lead examination and external audit processes, coordinating internal readiness and presenting compliance controls and posture to regulators and auditors.
• Draft and file all regulatory submissions and reports, providing senior stakeholders with timely, actionable intelligence on the health and effectiveness of compliance programs.
• Create and maintain compliance standard operating procedures, translating policy requirements into operational activities and ensuring consistent execution across teams.
• Promote a compliance culture by proactively engaging peers and stakeholders across business, operations, and technology teams to educate on compliance concerns and embed best practices.
The role works closely with legal, product, operations, and technology stakeholders to enhance the Webull Advisors compliance program and support the company's mission to empower individual investors with advanced trading tools and resources.
