Regulatory Compliance Manager, GTM Enablement

About the Company

At Range, we’re building towards a world where anyone can live the financial life they imagine for themselves. We are 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

• Run the day-to-day marketing and advertising compliance program, including reviews and approvals under the SEC Marketing Rule and FINRA communications standards
• Own compliance enablement for client-facing products and releases, partnering with Product, Engineering, Design, and CX
• Support expansion into video and long-form content by providing timely, clear, and scalable compliance reviews
• Maintain and evolve books-and-records practices related to advertising and client communications
• Serve as the subject matter expert for advertising and client communications compliance
• Promote exam and audit readiness by ensuring clean documentation and consistent record keeping

Requirements

• Experience in regulatory compliance within investment advisory, fintech, or financial services
• Strong working knowledge of SEC Marketing Rule requirements and FINRA communications standards
• Proven ability to partner cross-functionally with product, marketing, and engineering teams
• Practical, solutions-oriented mindset
• Strong organizational skills and attention to detail
• Ability to translate complex regulatory requirements into actionable guidance
• Series 7 and Series 24 licenses are required

Preferred Qualifications

• Experience supporting regulatory exams, audits, or inquiries
• Familiarity with compliance tools and systems for advertising review and books-and-records management