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Compliance- Associate Director
1 month ago
Compliance- Associate Director
St. Petersburg, Florida (On-site)
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 and provide support for our investment advisory services.
Responsibilities:
- Contribute to the regulatory mapping of 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.
- Support examination and external audit processes, engaging internally to ensure readiness and externally to present compliance controls.
- Prepare reports to senior compliance 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
Requirements:
- 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
At Webull, we provide competitive and exciting benefits such as:
- Fully Paid Medical & Dental Insurance
- Vision Insurance
- 401k Match
- Mental Health Resources
- Short-Term Disability & Paid Parental Leave
- Fitness Benefits
- In-Office Events & Fun Culture Events
- 15 Vacation Days, 2 Personal Days, 7 Sick Day
Webull promotes diversity and provides equal opportunity for all applicants and employees. We are dedicated to building a company that represents a variety of backgrounds, perspectives, and skills. We believe that the more inclusive we are, the better our work (and work environment) will be for everyone.
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