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.
About the job
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 Rule, Finra Communications Standards, Compliance Workflows, Books-And-Records Management, Advertising Review Systems, Regulatory Documentation, Cross-Functional Collaboration, Compliance Training, Audit Readiness, Product Compliance
Similar jobs
Sales Enablement jobs
ClickUp
San Diego, CA
Leads performance and enablement programs for Commercial and XDR sales teams, using data, AI, and automation to improve selling, prospecting, coaching, renewal, and expansion workflows. Requires 5+ years in sales, enablement, content strategy, or product marketing and strong cross-functional influence.
Openly
United States
Leads sales coaching and readiness programs for a remote field organization, defining competencies, improving rep performance, and building scalable onboarding and development systems. Requires 5+ years in sales training, L&D, or field enablement, direct coaching experience, and people-management capability.
Datadog
New York, NY
Leads onboarding, training, reinforcement, and coaching programs for Sales and Customer Success teams across AMER. Requires 3–5 years in sales or field enablement, strong facilitation and business acumen, and familiarity with sales methodologies and SaaS environments.
Ramp
New York, NYManages and develops a team of Account Executives responsible for acquiring and closing new business. The role requires quota-carrying sales experience, sales-team leadership, strong coaching and cross-functional skills, and comfort using data and sales tools.
Fleetio
United States
Build and operate partner onboarding and ongoing enablement programs for Fleetio’s reseller ecosystem. The role requires 5+ years in partner or sales enablement, strong program management, cross-functional collaboration, and experience creating training, playbooks, and certification content.