Regulatory Compliance Manager, Operational Improvement

Regulatory Compliance Manager, Operational Improvement Range is creating AI-powered solutions to eliminate financial complexity for our members. We’re transforming wealth management through the perfect blend of cutting-edge technology and human expertise. We’re obsessed with member experience! We’ve built an integrated platform that tackles the full spectrum of financial needs–investments, taxes, retirement planning, and estate management–all unified in one intuitive system. Backed by Google's Gradient Ventures, Cathay Innovations, and Scale Venture Partners, we're in hyper-growth mode and looking for exceptional talent to join our starting lineup. Every Ranger at this stage is shaping our culture and way of life—from former CEOs and startup founders to experts from leading hedge funds and tech companies. If you're ready to build something that truly matters in financial services, bring your talent to Range. Here, you'll make a genuine impact on how people manage their financial lives while working alongside a team that celebrates wins, makes big decisions, and blazes new trails together. 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. 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 workstreams - 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 managem ... (truncated, view full listing at source)