Regulatory Compliance Manager – Operational Improvement

About the role

As the Regulatory Compliance Manager for Operational Improvement at Range, you will build and maintain a scalable compliance cadence that supports growth, evolving regulations, and broker‑dealer supervision. You will ensure supervision, testing, registrations, and regulatory change management are predictable, well‑documented, and exam‑ready.

Key responsibilities

• Execute and continuously improve supervision and surveillance processes, including trade and account reviews, Reg BI and Form CRS governance, OBAs, gifts and entertainment monitoring, and insider trading surveillance.
• Own registration operations and new‑hire onboarding workflows such as 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, 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 timely, consistent implementation of rule updates.
• Identify opportunities to standardize, document, and improve compliance processes to support scale and reduce operational risk.

Required profile

• 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 expectations.
• Hands‑on experience with registrations and licensing processes (U4/U5, WebCRD, onboarding coordination).
• Strong organizational mindset with focus on consistency, documentation, and follow‑through.
• Ability to manage recurring compliance deliverables and deadlines across multiple work streams.

Required skills

• Familiarity with compliance tools, surveillance systems, and vendor management processes (preferred).
• Series 7 & Series 24 certifications (preferred).

What we offer

• Base salary $100,000–$200,000 plus equity stock options.
• 100% employer‑covered medical insurance for employees, 75% for dependents, plus dental and vision.
• 401(k) retirement savings program.
• Paid time off, parental leave, and holiday coverage.
• Meals, fitness stipend, and monthly movement allowance.
• Equity with early exercise eligibility and annual compensation reviews.
• Boomerang program allowing a sabbatical to start a company after two years.