Webull Financial | Communications Compliance Associate | saint petersburg, fl

5 days ago

saint petersburg, United States Webull Financial Full time

Communications Compliance Officer

Associate, Communications Compliance

Location: St. Pete, FL


About Webull:

Webull is a leading digital financial services platform dedicated to providing retail investors with zero-commission trading and cutting-edge market data. Our mission is to empower investors by providing advanced tools and insights to make informed financial decisions in a user-friendly environment.


Job Description:

We are seeking a highly motivated Senior Associate to lead our Communications Compliance team within the Compliance Department. The ideal candidate will be responsible for overseeing the approval of communications, including marketing materials, ensuring adherence to regulatory requirements, and enhancing our communications compliance program.


Key Responsibilities:

Review and Approve Public Communications:

  • Thoroughly review all marketing materials, advertisements, and public communications to ensure compliance with FINRA, SEC, and other regulatory standards.
  • Ensure that all public communications align with both firm and regulatory content standards.
  • Partner with the marketing to employ cutting-edge strategies while maintaining compliance with rules and regulations.
  • Contribute to idea and strategy generation.

Policy Development and Implementation:

  • Develop, implement, and maintain policies and procedures related to communications compliance in accordance with FINRA, SEC, and other regulatory guidelines.
  • Provide guidance to business units on regulatory requirements and internal policies regarding communications.

Regulatory Compliance:

  • Assist in preparing for regulatory exams, audits, and inquiries related to communications compliance.
  • Stay updated on industry developments and regulatory changes to ensure ongoing compliance.

Training and Collaboration:

  • Conduct training sessions for employees on communications policies and best practices.
  • Collaborate with cross-functional teams to enhance compliance controls and surveillance systems.


Qualifications:

  • Bachelor’s degree in Finance, Marketing, or a related field.
  • Series 7 and Series 24 required.
  • Minimum of 3-5 years of experience in compliance, legal, or regulatory roles within the financial services industry.
  • Strong knowledge of FINRA, SEC, and other relevant regulations pertaining to communications compliance.
  • Familiarity with concepts of recommendation, digital engagement practices, modern marketing practices.
  • Exceptional English skills with eye for detail.
  • Fluency in Spanish or Portugues required.
  • Builder’s mentality seeking embrace the power of new technologies and optimize workflows.
  • Ability to work independently and collaboratively in a fast-paced environment.
  • Capable of navigating multiple deadlines and numerous projects simultaneously


What We Offer:

Competitive salary and performance-based bonuses.

Comprehensive health, dental, and vision insurance plans.

401(k) retirement plan with company match.

Generous paid time off and company holidays.

Opportunities for professional growth and development.


Equal Opportunity Employer:

Webull is an Equal Opportunity Employer. We celebrate diversity and are committed to creating an inclusive environment for all employees.


How to Apply:

If you're passionate about compliance and eager to contribute to a dynamic team, we'd love to hear from you. Please submit your resume and cover letter for consideration.

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