Regulatory Compliance Manager, Operational Improvement

The role

You will build and maintain the operational compliance cadence to support growth and broker-dealer supervision. This role focuses on executing supervision, testing, registrations, and regulatory change management.

What you will do

• Execute and improve supervision and surveillance processes
• Own registration operations and new-hire onboarding workflows
• Drive recurring regulatory reporting and exam readiness activities
• Support responses to regulatory inquiries and exams
• Partner with internal stakeholders to operationalize regulatory change management
• Identify opportunities to standardize and improve compliance processes

Required qualifications

• 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
• Ability to manage recurring compliance deliverables and deadlines across multiple work streams
• Comfort partnering with cross-functional teams in a fast-paced, evolving environment
• Experience supporting regulatory exams, audits, and ongoing reporting obligations

Nice to have

• Familiarity with compliance tools, surveillance systems, and vendor management processes
• Series 7
• Series 24

Benefits

• 100% employer-covered medical insurance for employees (75% for dependents)
• Dental and vision coverage
• 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 eligibility
• Professional development focus
• Annual salary and equity refreshes based on performance
• Boomerang Program: hold spot for 6 months after two years to start a company

About the company

Range is building AI-powered wealth management including investments, taxes, retirement, and estate planning. The company is backed by Google's Gradient Ventures, Cathay Innovation, Scale Venture Partners, and more.