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Range FinanceRange FinanceMcLean, VA

Regulatory Compliance Manager, GTM Enablement

Manages marketing, advertising, and client-facing product compliance workflows, ensuring adherence to SEC and FINRA rules while enabling GTM teams. Partners cross-functionally to provide scalable reviews, guidance, and exam-ready documentation in a fast-paced fintech environment.

Salary not listed
On-siteSales Enablement

About the role

Responsibilities

  • Run the day-to-day marketing and advertising compliance program, including reviews and approvals under the SEC Marketing Rule and FINRA communications standards
  • Own compliance enablement for client-facing products and releases, partnering with Product, Engineering, Design, and CX to review requirements for new features, disclosures, and user flows (e.g., onboarding, education content, recommendations, prompts, and in-app messaging)
  • Support Range’s expansion into video and long-form content—such as market insights, webinars, and video advertising — by providing timely, clear, and scalable compliance reviews
  • Maintain and evolve books-and-records practices related to advertising and client communications, including ownership of workflows and documentation within compliance systems
  • Serve as the subject matter expert for advertising and client communications compliance, translating regulatory rules into clear guidance, templates, and training for partner teams
  • Promote exam and audit readiness by ensuring clean documentation, consistent recordkeeping, and efficient response processes

Requirements

  • Experience in regulatory compliance within investment advisory, fintech, or financial services, with a focus on marketing, advertising, or product-related compliance
  • Strong working knowledge of SEC Marketing Rule requirements and FINRA communications standards
  • Proven ability to partner cross-functionally with product, marketing, and engineering teams in fast-moving environments
  • Practical, solutions-oriented mindset—able to balance regulatory rigor with business velocity
  • Strong organizational skills and attention to detail, especially around documentation and record keeping
  • Ability to translate complex regulatory requirements into clear, actionable guidance for non-compliance stakeholders

Nice-to-Haves

  • Experience supporting regulatory exams, audits, or inquiries
  • Familiarity with compliance tools and systems for advertising review and books-and-records management

Benefits

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

Skills

Sec Marketing RuleFinra Communications StandardsCompliance WorkflowsBooks-And-Records ManagementAdvertising Review SystemsRegulatory DocumentationCross-Functional CollaborationCompliance TrainingAudit ReadinessProduct Compliance

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