Chief Compliance Officer

About the Company

At Range, we’re building towards a world where anyone can live the financial life they imagine for themselves. We’re building AI-powered wealth management, integrating investments, taxes, retirement, and estate planning into one platform. We are backed by Google's Gradient Ventures, Cathay Innovation, Scale Venture Partners, and more.

Responsibilities

• Develop, implement, and maintain the firm’s compliance program in line with government regulations
• Monitor and enforce adherence to policies, procedures, and regulatory requirements
• Conduct internal audits and risk assessments to ensure regulatory compliance
• Oversee filings, disclosures, and reporting obligations with SEC, FINRA, IRS, etc.
• Lead compliance training programs for employees and management
• Serve as the primary liaison with regulatory bodies, auditors, and legal counsel
• Investigate and resolve compliance issues and ensure corrective action
• Stay current on regulatory changes and advise the leadership team
• Maintain compliance-related records, systems, and documentation

Requirements

• 12+ years of compliance experience, preferably in an SEC-registered investment advisor and/or a FINRA registered Broker Dealer
• Strong understanding of SEC rules and regulations, including the Investment Advisers Act of 1940
• Experience leading and scaling compliance programs in a tech-forward environment
• Proven ability to interact with regulators and external auditors
• Bachelor's degree required
• Series 7 and Series 24 licenses required

Preferred Qualifications

• JD or relevant certification (e.g., IACCP)

Benefits

• 100% employer-covered medical insurance for employees
• 401(k) retirement savings program
• Paid Time Off and most federal holidays
• Comprehensive parental leave policy
• Select meals covered throughout the week
• Monthly movement stipend
• Early exercise equity eligibility
• Access to cutting-edge AI tools