Compliance Associate

4 weeks ago

New York, United States Webull Financial Full time

Webull Financial LLC is a FINRA registered broker dealer, we provide online investing platform for retail investors, products include global market data, news and trading in US equities and listed options. We are looking for a talented financial compliance professional in the New York area to be part of our Compliance team.

Responsibilities:

Demonstrate an understanding of regulatory requirements of a broker dealer

Assist firm with projects and issues by providing rules based knowledge and guidance

Assist Director of Compliance with projects, tasks, and responsibilities

Assist with education of employees on compliance procedures and answer questions regarding policies

Assess and conduct branch/departmental compliance reviews

Deliver objective analysis of potential systems and firm issues and identify root cause while strategizing an action plan to remediate

Research and report on regulatory changes and disciplinary actions to ensure compliance

Improve upon and streamline current procedures within the firm and WSPs

Requirements:

Bachelor's degree in Economics, Business, Finance, or similar major

2+ years of experience in relevant field

Series 7 license preferred, additional licenses a plus

Prior experience working at a retail broker dealer in a compliance/risk role

Strong problem solving, control, and project management skills

Strong sense of urgency when it comes to support resolution

Proven ability to work efficiently and accurately under pressure in a fast-paced, multi-tasking environment

Ability to thrive in both individual and team atmospheres

Strong communication skills both written and verbal

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.

Please email resume and salary requirements to careers@webull-us.com.

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