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
We are seeking a highly motivated Associate to strengthen our Compliance team. This role will be responsible for managing regulatory exams, responding to inquiries, handling regulatory complaints, and serving as a primary point of contact with examiners.
The ideal candidate will have strong regulatory exam experience, excellent attention to detail, and the ability to collaborate effectively with compliance, operations, and technology staff.
In This Role, You Will
- Manage all aspects of FINRA, SEC, NFA, CFTC, CME, and other regulatory examinations, from initial requests through closeout.
- Coordinate and prepare responses to regulatory inquiries and information requests.
- Oversee the intake, tracking, and resolution of regulatory complaints.
- Communicate directly with examiners, ensuring accurate, timely, and professional engagement.
- Partner with legal, operations, and technology teams to gather data and supporting documentation.
- Maintain detailed records of all regulatory interactions and follow-up actions.
- Assist in exam readiness efforts and support remediation of findings.
The Skills You Bring
- Bachelor’s degree in Finance, Marketing, or a related field.
- Minimum of 2-3 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.
- Builder’s mentality seeking embrace the power of new technologies and optimize workflows.
What Makes You Stand Out
- Series 7 and Series 24 preferred.
- Fluency in Spanish or Portuguese preferred.
- Ability to work independently and collaboratively in a fast-paced environment.
- Capable of navigating multiple deadlines and numerous projects simultaneously
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 15 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 lunches (every Friday), fully stocked kitchens, and monthly happy hours to connect and collaborate.
This role is based in our Wall Street Office (44 Wall Street, NYC), where in-person collaboration fuels growth, mentorship, and innovation.
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.
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