Apply on Employer Site

Range · 2 days ago

Regulatory Compliance Manager, Operational Improvement

McLean, VA

Full-time

Onsite

Mid Level

Range is creating AI-powered solutions to eliminate financial complexity for their members, transforming wealth management through technology and human expertise. The Regulatory Compliance Manager, Operational Improvement will be responsible for building and maintaining operational compliance processes that support the company's growth and regulatory requirements.

AdviceArtificial Intelligence (AI)Financial ServicesFinTechWealth Management

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

Qualification

Regulatory compliance operationsSupervisionSurveillanceRegistrationsLicensingReg BIForm CRSCompliance tools familiarityOrganizational mindsetProcess improvementAudit preparationCross-functional collaboration

Required

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 workstreams

Comfort partnering with cross-functional teams in a fast-paced, evolving environment

Experience supporting regulatory exams, audits, and ongoing reporting obligations

Preferred

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

Benefits

100% employer-covered medical insurance for employees (75% for dependents), plus dental and vision coverage

Retirement savings program to support your future

Dedicated time to reset and recharge plus most federal holidays

Comprehensive leave policy for growing families

Select meals covered throughout the week

Monthly movement stipend

Early exercise eligibility and a strong focus on professional development

Salary and equity refreshes based on performance

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