Senior Associate Director, Compliance

Webull is a leading digital brokerage platform built on next generation global infrastructure. At Webull, we believe that everyone should have an equal opportunity to control their own financial future. Our vision has always been to empower individual investors with the tools and resources they need to succeed financially. This commitment remains at the heart of everything we do. From low-fee trading and robust market data to advanced analytical tools, we are committed to providing a seamless, top-tier trading experience.

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.

• 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.

• Bachelor's degree in Finance, Business Administration, Economics, or a related field required; advanced degree or relevant compliance certifications preferred (IACCP, CRCM, CAMS, Series 7/24/65/66, or similar compliance/regulatory credentials).
• 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.

Webull is more than a fintech company—we’re a…