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. Backed by Lightspeed.
About the role
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 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.
What they're looking for
- 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
More about this role
About The Role & Team
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 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.
In This Role, You Will
- 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,...
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