Regulatory Compliance Manager, Operational Improvement
About The Position
At Range, we’re building towards a world where anyone can live the financial life they imagine for themselves. If that sounds like a mission you want to be a part of, let’s create it together. We’re building AI-powered wealth management. Investments, taxes, retirement, estate planning, all in one platform instead of scattered across different advisors and apps. We're backed by Google's Gradient Ventures, Cathay Innovation, Scale Venture Partners, and more. We’re growing fast while still small enough that everyone's work is visible and impactful. As Regulatory Compliance Manager, Operational Improvement, you’ll be responsible for building and maintaining the operational compliance cadence that supports Range’s growth, evolving regulatory requirements, and broker-dealer supervision needs. This role focuses on execution, consistency, and continuous improvement—ensuring supervision, testing, registrations, and regulatory change management are predictable, well-documented, and scalable. You’ll work closely with Compliance leadership and cross-functional partners to keep the organization exam-ready and ahead of regulatory change, without relying on last-minute fire drills. We're excited to hire this role at Range's Headquarters in McLean, VA or our hub in New York City. All of our positions follow an in-office schedule Monday through Friday, allowing you to collaborate directly with your team. If you're not currently based in the area but love what you see, let’s discuss relocation as part of your journey to joining us.
Requirements
- Experience in regulatory compliance operations within investment advisory, broker-dealer, or financial services environments
- Working knowledge of supervision, surveillance, and testing requirements, including Reg BI, Form CRS, and FINRA/SEC supervisory expectations
- Hands-on experience with registrations and licensing processes (U4/U5, WebCRD, onboarding coordination)
- Strong organizational and process-oriented mindset, with a focus on consistency, documentation, and follow-through
- Ability to manage recurring compliance deliverables and deadlines across multiple work streams
- Comfort partnering with cross-functional teams in a fast-paced, evolving environment
- Experience supporting regulatory exams, audits, and ongoing reporting obligations
Nice To Haves
- Familiarity with compliance tools, surveillance systems, and vendor management processes is a plus
- Series 7 & Series 24 preferred
Responsibilities
- Execute and continuously improve supervision and surveillance processes, including trade and account reviews, Reg BI and Form CRS governance support, OBAs, gifts and entertainment monitoring, and insider trading surveillance
- Own registration operations and new-hire onboarding workflows, including U4/U5 processing, WebCRD updates, tracking, coordination, and required training support
- Drive recurring regulatory reporting and exam readiness activities, including ADV updates, Rule 3120/3130 support materials, AML coordination, vendor due diligence, and audit preparation
- Support responses to regulatory inquiries and exams by maintaining clear documentation, testing evidence, and escalation paths
- Partner with internal stakeholders to operationalize regulatory change management, ensuring updates to rules and requirements are implemented in a timely, consistent manner
- Identify opportunities to standardize, document, and improve compliance processes to support scale and reduce operational risk
Benefits
- 100% employer-covered medical insurance for employees (75% for dependents), plus dental and vision coverage
- 401(k): Retirement savings program to support your future
- Paid Time Off: Dedicated time to reset and recharge plus most federal holidays
- Parental Leave: Comprehensive leave policy for growing families
- Meals: Select meals covered throughout the week
- Monthly movement stipend
- Equity & Career Growth: Early exercise eligibility and a strong focus on professional development
- Annual Compensation Reviews: Salary and equity refreshes based on performance
- Boomerang Program: After two years at Range, you can take time away to start your own company. We’ll hold your spot for 6 months - and pause your equity vesting, which resumes if you return
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
