Regulatory Compliance Manager, Operational Improvement

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

• Execute and continuously improve supervision and surveillance processes, including trade and account reviews, Reg BI, Form CRS governance, OBAs, and insider trading surveillance
• Own registration operations and new-hire onboarding workflows, including U4/U5 processing and WebCRD updates
• Drive recurring regulatory reporting and exam readiness activities, including ADV updates, Rule 3120/3130 support, and AML coordination
• Support responses to regulatory inquiries and exams by maintaining clear documentation and testing evidence
• Partner with internal stakeholders to operationalize regulatory change management
• Identify opportunities to standardize and improve compliance processes to support scale

Requirements

• Experience in regulatory compliance operations within investment advisory, broker-dealer, or financial services environments
• Working knowledge of supervision, surveillance, and testing requirements (Reg BI, Form CRS, FINRA/SEC expectations)
• Hands-on experience with registrations and licensing processes (U4/U5, WebCRD)
• Strong organizational and process-oriented mindset
• Ability to manage recurring compliance deliverables and deadlines
• Series 7 and Series 24 licenses required

Preferred Qualifications

• Experience supporting regulatory exams, audits, and ongoing reporting obligations
• Familiarity with compliance tools, surveillance systems, and vendor management processes