Regulatory Compliance Manager, Operational Improvement

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.

• 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

• 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

• Familiarity with compliance tools, surveillance systems, and vendor management processes is a plus

• Series 7 & Series 24 preferred

Base salary range: $100,000 – $200,000

This is the base salary range we expect in good faith to pay for this role at the time of posting. Where an offer lands within the range depends on the scope and complexity of work the candidate can own independently and demonstrated depth at…