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Range FinanceRange FinanceMcLean, VA

Regulatory Compliance Manager, Operational Improvement

Builds and maintains operational compliance processes including supervision, surveillance, registrations, reporting, and exam readiness for a financial services firm. Requires experience in investment advisory or broker-dealer compliance, FINRA/SEC regulations, and cross-functional collaboration.

Salary not listed
On-siteLegal

About the role

Responsibilities

  • 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

Requirements

  • 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

Nice-to-Haves

  • Familiarity with compliance tools, surveillance systems, and vendor management processes

Benefits

  • 100% employer-covered medical insurance for employees (75% for dependents), plus dental and vision
  • 401(k) retirement savings program
  • Paid Time Off plus most federal holidays
  • Comprehensive parental leave
  • Select meals covered throughout the week
  • Monthly fitness stipend
  • Equity and career growth opportunities
  • Annual compensation reviews

Skills

Reg BiForm CrsFinraSecU4/U5WebcrdAMLAdvRule 3120Rule 3130

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