# Chief Compliance Officer

**Company:** [Range Finance](https://hotfix.jobs/companies/range-finance)
**Location:** McLean, VA
**Role:** Legal
**Experience:** 12+ years
**Skills:** Sec Regulations, Finra Regulations, Investment Advisers Act Of 1940, Compliance Programs, Internal Audits, Risk Assessments, Regulatory Filings, Compliance Training, Regulatory Liaison
**Posted:** 2026-04-01

> Leads development and maintenance of compliance programs ensuring adherence to SEC, FINRA, and state regulations for RIA and broker-dealer operations. Oversees audits, training, regulatory interactions, and risk management with 12+ years experience required.

## Job Description

## Responsibilities
- Develop, implement, and maintain the firm’s compliance program in line with government regulations.
- 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 appropriate government entities (SEC, FINRA, IRS, etc).
- Lead compliance training programs for employees and management.
- 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.

## Requirements
- 12+ years of compliance experience, preferably in an SEC-registered investment advisor and/or a FINRA registered Broker Dealer.
- Strong understanding of SEC rules and regulations, including the Investment Advisers Act of 1940.
- 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.

## 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, early exercise eligibility.
- Full access to cutting-edge AI tools.
- Annual compensation reviews.

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