Regulatory Compliance Manager, Operational Improvement

53 Stations; McLean (VA); On-site; USD 100,000 - 200,000; Full time

Benefits offered by this job

Health Insurance

401(k)

Paid Time Off

Parental Leave

Equity

Job summary

Range in McLean, VA (HQ) and New York City hub seeks a Regulatory Compliance Manager, Operational Improvement to build and maintain the operational compliance cadence supporting growth and supervision needs.

You will partner with Compliance leadership and cross-functional teams to ensure supervision, testing, registrations, and regulatory change management are predictable, well-documented, and scalable.

Qualifications

• Experience in regulatory compliance operations within investment advisory, broker-dealer, or financial services environments.
• Hands-on experience with registrations and licensing processes (U4/U5, WebCRD, onboarding coordination).
• Ability to manage recurring compliance deliverables and deadlines across multiple work streams.

Responsibilities

• Execute and continuously improve supervision and surveillance processes (trade reviews, Reg BI, Form CRS, gifts and entertainment, insider trading surveillance).
• Own registration operations and new-hire onboarding workflows (U4/U5, WebCRD, tracking, training).
• Drive regulatory reporting and exam readiness activities (ADV updates, Rule 3120/3130, AML coordination, audits).
• Support responses to regulatory inquiries and exams with clear documentation and evidence.
• Partner with stakeholders to operationalize change management and update rules timely.
• Identify opportunities to standardize and improve compliance processes for scale.

Skills

Regulatory compliance operations

Reg BI knowledge

Form CRS knowledge

Licensing & registrations

Coordination across teams

Documented process improvement

Project management

Education

Experience in financial services compliance

Tools

WebCRD

U4/U5 processing

Job description

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.

About the role

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.

What you’ll do with 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

What will set you apart

• 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

Compensation

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 this level.

Other compensation and benefits

The range above reflects base salary only. Our offer packages also include equity in the form of stock options, so total compensation for this role will exceed the base salary range.

We do not ask for or consider salary history. You are welcome to ask questions about compensation at any point in the process.

Benefits

• Health & Wellness: 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

• Fitness: 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

Range is proud to be an equal opportunity workplace. We are committed to equal employment opportunities regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability, gender identity or Veteran status. As a company, we are committed to designing products, building a culture, and supporting a team that reflects the diverse population we serve.