What are the responsibilities and job description for the Head of Compliance position at Range?
Range is creating AI-powered solutions to eliminate financial complexity for our members. We’re transforming wealth management through the perfect blend of cutting-edge technology and human expertise. We’re obsessed with member experience! We’ve built an integrated platform that tackles the full spectrum of financial needs–investments, taxes, retirement planning, and estate management–all unified in one intuitive system.
Backed by Google's Gradient Ventures and Cathay Innovations, we're in hyper-growth mode and looking for exceptional talent to join our starting lineup. Every Ranger at this stage is shaping our culture and way of life—from former CEOs and startup founders to experts from leading hedge funds and tech companies.
If you're ready to build something that truly matters in financial services, bring your talent to Range. Here, you'll make a genuine impact on how people manage their financial lives while working alongside a team that celebrates wins, makes big decisions, and blazes new trails together
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 FINRA regulations, 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
Backed by Google's Gradient Ventures and Cathay Innovations, we're in hyper-growth mode and looking for exceptional talent to join our starting lineup. Every Ranger at this stage is shaping our culture and way of life—from former CEOs and startup founders to experts from leading hedge funds and tech companies.
If you're ready to build something that truly matters in financial services, bring your talent to Range. Here, you'll make a genuine impact on how people manage their financial lives while working alongside a team that celebrates wins, makes big decisions, and blazes new trails together
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 FINRA regulations, 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.
- Help drive the setup of an introducing BD
- 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 and FINRA.
- Lead compliance training programs for employees and management.
- Manage all aspects of the firm's AML compliance program.
- 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.
- 10 years of compliance experience, preferably in an SEC-registered investment advisor or Broker-Dealer.
- Strong understanding of SEC and FINRA rules and regulations, including the Investment Advisers Act of 1940.
- Series 7 and 24 licenses required.
- 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.
- 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: 15 vacation days annually (prorated your first year) 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.
