Job details

Compliance Director

Are you ready to disrupt? Range is a cutting-edge wealth management platform designed to revolutionize the industry. With state-of-the-art technology, world-class advisors, and data-driven insights, we simplify your finances like never before.

Powered by AI and supported by a team of financial experts, Range is building proprietary tools and services to help you manage every aspect of your financial life. From investment planning and tax strategies to retirement and estate planning, everything you need is seamlessly integrated into one platform.

Join us in transforming the wealth management industry. Backed by Google’s AI-focused Gradient Ventures and Cathay Innovations, we’re assembling a team of top talent to make quality financial advice accessible to millions. If you’re ready to create a groundbreaking platform and make a lasting impact, join Range.

About the role

This person will play a key role in ensuring the firm’s adherence to regulatory requirements, maintaining a robust compliance program, and fostering a culture of ethical business practices. This position requires a deep understanding of SEC and state regulations governing RIAs, strong analytical skills, and the ability to adapt to a dynamic and evolving regulatory landscape.

This role is based at Range's Headquarters in McLean, VA or in New York City. If you are not currently located in one of these areas, your willingness to relocate will be a contingency for employment.

What you’ll do with us

Develop, implement, and maintain the firm’s compliance program in line with SEC regulations.
Monitor and enforce adherence to policies, procedures, and regulatory requirements.
Conduct internal audits and risk assessments to ensure regulatory compliance.
Oversee filings, disclosures, and reporting obligations with the SEC.
Lead compliance training programs for employees and management.
Serve as the primary liaison with regulatory bodies, auditors, and legal counsel.
Investigate and resolve compliance issues, ensuring timely and appropriate corrective action.
Stay current on regulatory changes and advise the leadership team on potential impacts.
Maintain compliance-related records, systems, and documentation.

What will set you apart

10+ years of compliance experience, preferably in an SEC-registered investment advisor.
Strong understanding of SEC rules and regulations, including the Investment Advisers Act of 1940.
Experience leading and scaling compliance programs in a tech-forward environment.
Proven ability to interact with regulators and external auditors.
Strong analytical, problem-solving, and decision-making skills.
Excellent communication and interpersonal skills to lead training and collaborate with teams.
Bachelor's degree required; JD or relevant certification (e.g., IACCP) preferred.

Benefits

Comprehensive health coverage: Medical, dental and vision
401k plan
Technology allowance
PTO
Top of Market Pay
Paid parental leave
In-person team & company events

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.

Average salary estimate

$150000 / YEARLY (est.)

min

max

$120000K

$180000K

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What You Should Know About Compliance Director, Range

Are you ready to take the reins of compliance in a fast-paced, innovative environment? Range is on the lookout for a talented Compliance Director to join our dynamic team. We are a forward-thinking wealth management platform that harnesses cutting-edge technology, world-class advisors, and AI-driven insights to change the way individuals manage their finances. As the Compliance Director at Range, based at our headquarters in McLean, VA, or in the bustling heart of New York City, you'll play a pivotal role in ensuring our adherence to all SEC and state regulations governing Registered Investment Advisors (RIAs). Your expertise will guide our robust compliance program, fostering a culture of integrity and ethical business practices within our organization. You'll monitor, implement, and maintain compliance protocols while conducting audits and risk assessments to ensure we exceed required standards. Your strong analytical skills and your ability to stay ahead of the regulatory curve will prove invaluable, as you interact with regulatory bodies, lead training programs, and investigate compliance issues. If you have a solid understanding of SEC regulations, a proven track record in leading compliance programs, and a passion for enhancing financial advisory services for millions, we want to hear from you. Join Range in transforming wealth management and make a lasting impact in a role where your knowledge and skills will shine.

Frequently Asked Questions (FAQs) for Compliance Director Role at Range

What are the key responsibilities of a Compliance Director at Range?

As a Compliance Director at Range, your primary responsibilities will include developing and managing the firm's compliance program in alignment with SEC regulations, conducting internal audits, and overseeing adherence to policies and regulatory requirements. You'll serve as the liaison with regulatory agencies, conduct training sessions for staff, and ensure that all reporting obligations are met. Your expertise will be key in advising the leadership team on regulatory changes and their implications.