Chief Compliance Officer in Saint Petersburg, Florida at Webull Financial

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. Our vision has always been to empower individual investors with the tools and resources they need to succeed financially. This commitment remains at the heart of everything we do. From low-fee trading and robust market data to advanced analytical tools, we are committed to providing a seamless, top-tier trading experience.

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

Why Webull?

Webull is more than a fintech company—we’re a global community of innovators, collaborators, and trailblazers. Headquartered in St. Petersburg, FL, Webull operates in 14 regions worldwide, serving over 20 million users. At Webull, your ideas matter, your voice is heard, and your work makes a real impact.

Investing in our people is a top priority for us, which is why we have a comprehensive benefits package that includes:

• Comprehensive Health Coverage: 100% paid medical and dental insurance for employees and dependents, vision insurance, and more!
• Financial Support: 401(k) match, commuter benefits for NY positions, and short-term disability coverage.
• Work-Life Balance: Generous time off that increases with tenure, paid parental leave, personal days, sick time, volunteer days and company holidays.
• Wellness & Pet Care: Fitness and wellness benefits, plus pet insurance for your furry friends.
• Investing in Your Future: We provide tuition reimbursement to help you pursue relevant degrees, certifications, and training that align with your career goals.
• Dynamic Office Perks: Catered breakfast (every Monday) & lunches (every Friday), fully stocked kitchens, and monthly happy hours to connect and collaborate.

This role is based in our St. Pete office (200 Carillon Pkwy, St. Petersburg, FL), where in-person collaboration fuels growth, mentorship, and innovation. At Webull, we’re committed to fair, equitable, and transparent compensation. The base salary range is $165,000 - 200,000 annually, plus a discretionary bonus and full benefits. Final offers consider experience, location, and relevant qualifications.

EEOC Statement

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