Senior Associate Director of 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.

About The Role & Team

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. 

In This Role, You Will

• 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. 

The Skills You Bring

• 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. 

What Makes You Stand Out

• 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. 

Why Webull?

Webull is more than a fintech company—we’re a global community of innovators, collaborators, and trailblazers. Headquartered in St. Petersburg, FL, Webull operates in 14 regions worldwide, serving over 20 million users. At Webull, your ideas matter, your voice is heard, and your work makes a real impact.

Investing in our people is a top priority for us, which is why we have a comprehensive benefits package that includes:

• 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.

This role is based in our Wall Street office (44 Wall Street, NYC) where in-person collaboration fuels growth, mentorship, and innovation. At Webull, we’re committed to fair, equitable, and transparent compensation. The base salary range is $165,000-185,000 annually, plus a discretionary bonus and full benefits. Final offers consider experience, location, and relevant qualifications.

EEOC Statement

Webull is an equal opportunity employer. We’re committed to building a diverse and inclusive team where all backgrounds, perspectives, and talents are valued.