Range · 4 days ago
Regulatory Compliance Manager, Operational Improvement
McLean, VA
Full-time
Onsite
Mid LevelRange is creating AI-powered solutions to eliminate financial complexity for our members, transforming wealth management through technology and expertise. As a Regulatory Compliance Manager, Operational Improvement, you will build and maintain compliance processes that support the company's growth and regulatory needs, ensuring the organization is exam-ready and ahead of regulatory changes.
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
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
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
Company
Range
Range is an AI wealthtech platform that provides wealth management and financial advisory services.
Founded in 2020
51-200 employees
Funding
Current Stage
Growth StageTotal Funding
$100MKey Investors
Scale Venture PartnersCathay InnovationGradient
2025-11-25Series C· $60M
2024-11-26Series B· $28M
2023-05-03Series A· $12M
Leadership Team
D
David Cusatis
Co-founder & Chief AI Architect
Recent News
2025-12-03
thesaasnews.com
2025-12-01
Company data provided by crunchbase