Regulatory Compliance Manager, Operational Improvement
- Pay
- $100,000 – $200,000 per year
- Location
- McLean, VA
- Job type
- Full-time
- Level
- Lead / Staff
- Listed
- 31 days ago
Skills & highlights for this role
- Series 7
- Series 24
- Reg BI
- Form CRS
- FINRA/SEC supervisory requirements
- U4/U5 registration processes
Also useful
- WebCRD
- surveillance systems
- vendor management
About the Role
As Regulatory Compliance Manager, Operational Improvement, you’ll be responsible for building and maintaining the operational compliance cadence that supports Range’s growth, evolving regulatory requirements, and broker-dealer supervision needs.
This role focuses on execution, consistency, and continuous improvement-ensuring supervision, testing, registrations, and regulatory change management are predictable, well-documented, and scalable. You’ll work closely with Compliance leadership and cross-functional partners to keep the organization exam-ready and ahead of regulatory change, without relying on last-minute fire drills.
We're excited to hire this role at Range's Headquarters in McLean, VA or our hub in New York City. All of our positions follow an in-office schedule Monday through Friday, allowing you to collaborate directly with your team. If you're not currently based in the area but love what you see, let’s discuss relocation as part of your journey to joining us.
What You’ll Do with US
- Execute and continuously improve supervision and surveillance processes, including trade and account reviews, Reg BI and Form CRS governance support, OBAs, gifts and entertainment monitoring, and insider trading surveillance
- Own registration operations and new-hire onboarding workflows, including 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 materials, 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 updates to rules and requirements are implemented in a timely, consistent manner
- Identify opportunities to standardize, document, and improve compliance processes to support scale and reduce operational risk
What Will Set You Apart
- 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, with a focus on consistency, documentation, and follow-through
- 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
- Familiarity with compliance tools, surveillance systems, and vendor management processes is a plus
- Series 7 & Series 24 preferred
Compensation
Base salary range: $100,000 - $200,000
This is the base salary range we expect in good faith to pay for this role at the time of posting. Where an offer lands within the range depends on the scope and complexity of work the candidate can own independently and demonstrated depth at this level.
Other Compensation and Benefits
- The range above reflects base salary only. Our offer packages also include equity in the form of stock options, so total compensation for this role will exceed the base salary range.
- We do not ask for or consider salary history. You are welcome to ask questions about compensation at any point in the process.
Benefits
- Health & Wellness: 100% employer-covered medical insurance for employees (75% for dependents), plus dental and vision coverage
- 401(k): Retirement savings program to support your future
- Paid Time Off: Dedicated time to reset and recharge plus most federal holidays
- Parental Leave: Comprehensive leave policy for growing families
- Meals: Select meals covered throughout the week
- Fitness: Monthly movement stipend
- Equity & Career Growth: Early exercise eligibility and a strong focus on professional development
- Annual Compensation Reviews: Salary and equity refreshes based on performance
- Boomerang Program: After two years at Range, you can take time away to start your own company. We’ll hold your spot for 6 months - and pause your equity vesting, which resumes if you return
About Range
At Range, we’re building towards a world where anyone can live the financial life they imagine for themselves. If that sounds like a mission you want to be a part of, let’s create it together.
We’re building AI-powered wealth management. Investments, taxes, retirement, estate planning, all in one platform instead of scattered across different advisors and apps. We're backed by Google's Gradient Ventures, Cathay Innovation, Scale Venture Partners, and more. We’re growing fast while still small enough that everyone's work is visible and impactful.
Equal opportunity and legal notices
Range is proud to be an equal opportunity workplace. We are committed to equal employment opportunities regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability, gender identity or Veteran status. As a company, we are committed to designing products, building a culture, and supporting a team that reflects the diverse population we serve.
From Range's careers page, first listed on Rolev.ai on October 10, 2026. Rolev.ai is not the employer.
How Rolev.ai helps with this application
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Common questions
What is the salary for the Regulatory Compliance Manager, Operational Improvement role at Range?
The Regulatory Compliance Manager, Operational Improvement posting at Range states compensation of $100,000 – $200,000 per year. It is listed as a full-time position. Final pay may depend on location, experience, and interview evaluation on Range's official career site.
Where is the Regulatory Compliance Manager, Operational Improvement job at Range located?
This Regulatory Compliance Manager, Operational Improvement position at Range is located in McLean, VA. Always check Range's application page for specific state eligibility or relocation policies.
What qualifications are required for Regulatory Compliance Manager, Operational Improvement at Range?
For the Regulatory Compliance Manager, Operational Improvement role, Range highlights experience with Reg BI, Form CRS, FINRA/SEC supervisory requirements, U4/U5 registration processes. Rolev.ai can score your existing resume against these requirements and show any skill gaps before you apply.
How do I apply for the Regulatory Compliance Manager, Operational Improvement position at Range?
This listing links directly to Range's Ashby application page. You can apply directly on Range's site, or use Rolev.ai to check your resume fit, generate a zero-hallucination tailored resume and cover letter for this posting, and autofill the Ashby application form in 1 click with the Rolev.ai Chrome extension. You always review the form and press Submit yourself.