Range
Regulatory Compliance Manager, Operational Improvement
$100K–$200K
McLean, VA +1 · On-site · Manager · Full-time · Posted Oct 2, 2026
- Location
- McLean, VA
New York City
About the job
Build and improve Range’s operational compliance processes for supervision, registrations, regulatory reporting, exam readiness, and regulatory change management.
What you'll do
- Execute and improve supervision and surveillance, including trade and account reviews and related governance monitoring.
- Manage registration and onboarding workflows, including U4/U5 processing and WebCRD updates.
- Coordinate regulatory reporting, exam readiness, documentation, and implementation of regulatory changes.
What they ask for
- 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 registration and licensing processes, including U4/U5, WebCRD, and onboarding coordination.
- 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.
Pay
$100,000 – $200,000 USD base salary
Tools
Reg BI, Form CRS, FINRA, SEC, U4/U5, WebCRD, ADV, AML
Model-written summary · the original posting is authoritative