Regulatory Compliance Manager, Operational Improvement

• 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

• 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 workstreams
• 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

• 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