Chief Compliance Officer

About The Role & Team

Webull Advisors is an SEC registered Investment Adviser focused on robo-advisory services. We are looking for a talented compliance professional in St. Petersburg, Florida to join our compliance department. This is a hands-on leadership role. As a 'team of one,' you will be the primary architect and executor of our compliance framework, directly managing day-to-day operations rather than just overseeing a department.

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, 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.

The Skills You Bring

• 6+ years of experience in compliance program management within traditional or non-traditional financial services
• Strong knowledge of the Investment Advisors Act
• Ability to analyze and interpret applicable rules, regulations, and policies
• Known for being detail-oriented with a demonstrated ability to self-motivate
• Possess a growth mindset (to problem solve and innovate)
• High-level of an initiative to push for excellence, results, and process improvement
• Commitment to building an inclusive culture

This Role Is Based In

This role is based in our St. Pete office (200 Carillon Pkwy, St. Petersburg, FL), where in-person collaboration fuels growth, mentorship, and innovation.

EEOC Statement

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